Supervisory Relations is a rapidly evolving team for BNPP’s Intermediate Holding Company (“IHC”) and Wholesale operations in the U.S. BNPP views Supervisory Relations as a critical organizational component for managing its relationships with regulators as BNPP has implemented the IHC and the Enhanced Prudential Standards. The objective of Supervisory Relations is to ensure an organized, strategic and cohesive approach to BNPP’s regulators for the IHC and for its wholesale operations. Such approach must be well grounded in a sound understanding of BNPP’s US businesses and of regulatory processes and expectations.
The Supervisory Relations team is expected to work closely with executive management, business lines and control functions (including Compliance, Finance, Risk and Legal). It also liaises as necessary with the equivalent teams at Bank of the West.
BNP Paribas is seeking a self-assured, proactive, and resourceful Regulatory Examinations Specialist to join the Supervisory Relations team. This role is responsible for supporting the management of regulatory examinations and continuous monitoring for both banking and capital markets regulators.Essential duties and responsibilities include:
- Serve as the alternate point person internally (with senior management) and externally (with the regulators) on regulatory matters (regulatory meetings, requests and exams).
- Understand the internal and regulatory context of incoming and outgoing requests to adequately support the clear communication between BNPP and regulators.
- Notify senior management and other relevant firm personnel of upcoming examinations/continuous monitoring meetings and advise on scope/agenda and expectations.
- Review and assure clarity of documents/information requested by regulators. Discuss with examiners any requests that are unclear or require additional context.
- Facilitate the collection and tracking of, and perform quality control over, all documents submitted to exam staff before, during, and after on-site review and/or continuous monitoring meetings.
- Communicate key messages and potential findings internally to assist management in preparing for close out meetings and formal BNPP response letters.
- Schedule and attend meetings with regulators and firm employees to ensure all regulatory needs are addressed in a timely, clear and efficient manner.
- Maintain constant contact with exam staff leader to track progress of exam(s) and address any concerns or clarifications needed.
- Coordinate with relevant parties within the firm in order to respond to regulatory findings. Resolve and/or follow up with relevant parties regarding the resolution of findings resulting from regulatory examinations with a view to improve future examination results.
Minimum Required Qualifications
- BA or BS a must.
- 1 – 3 years of relevant industry experience.
- Excellent communication skills, including oral and written.
- Attention to detail and strong analytical skills.
- Project management skills, with the ability to work on multiple tasks with competing priorities at once and successfully managing all to completion.
- A high level of detail orientation and organization.
- Knowledge of rules, regulations and guidance for both banking and capital markets
- Preferable business experience in a business function, control function or regulatory relations role.
FINRA Registrations Required:
- Not Applicable