COMPLIANCE ASSOCIATE recruitment

BNPP IP offers a diverse range of investment management strategies to institutional clients in the U.S.  Our clients include corporations, pension plans, insurance companies, foundations, endowments, central banks, official institutions and mutual fund advisors. In the U.S. we have offices in Boston, Chicago, New Jersey and New York. We have an excellent career opportunity for a Compliance Associate with Finance or Accounting experience in our New York City office. This individual will be responsible for assisting the Chief Compliance Officer (“CCO”) in various regulatory compliance and operational risk matters. This is a mid-level role requiring full participation in maintaining, updating and developing firm wide compliance policies and programs as well as assisting with reporting requirements. 

Specific Responsibilities:

• Prepare, maintain and update compliance policies and procedures for BNPP IP North America.

• Assist to identify operational risk within BNPP IP North America and ensure such risks are effectively mitigated with appropriate controls.

• Prepare intra-Group reports and coordinate with global teams.

• Prepare and maintain Form ADV Parts 1, 2A and 2B filings with the SEC for various BNPP IP entities.

• Prepare regulatory filings for the SEC and other regulators.

• Assist the CCO with regulatory requests and responses.

• Manage internal regulatory compliance and operational risk reporting program to European based parent.

• Act as liaison with central regulatory compliance and operational risk teams located in Europe.

• Coordinate audit preparation and document production.

• Work closely with the legal and compliance team to address any regulatory issues and to provide overall general assistance to the team.

• Stay abreast of existing and new regulations and assess and advise of impact on firm.

• Independently manage process of routine compliance.

Ideal Personal Profile:

• Strong interpersonal skills and comfortable working in a fast-paced, high energy environment that is deadline driven and detail-oriented.

• Exceptional verbal and written communication skills.

• Previous accounting or audit skills a strong plus.

• Works well under pressure.  Candidate will be strong team player, self-motivated, and industrious.

• Flexible but effective time manager who is able to prioritize responsibilities, manage several simultaneous projects from inception to completion.

• An individual of unquestionable integrity who would be an excellent representative of the firm on both a personal and professional basis and who has the ability to exercise discretion when handling confidential information.

Academic Background and Experience:

• Bachelor’s degree coupled with excellent academic credentials in Accounting or Finance.

• Paralegal certification.

• 3-5 years professional experience in compliance, audit, accounting or risk management in the financial services industry, preferably at a SEC registered investment adviser or at a recognized consulting firm specializing in Advisers Act compliance services.

• Strong computer skills; with advanced skills in Excel.

• Proficiency in French a plus, but not required.

This position offers an excellent benefits and compensation package. To be considered for this opportunity, please forward your resume utilizing the online application process.  Equal Opportunity Employer.