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FX DMA Specialist (Professional Ethics & Market Integrity)
January 6, 2018
New York, New York
~~BNPP has entered into settlement agreements with regulators for conduct and control related issues arising out of BNPP's Foreign Exchange ("FX") business. The settlements required BNPP to submit written plans to the regulators forming BNPP's global remediation plan ("Remediation Plan") Americas Compliance is remediating the US Corporate Investment Bank element of "Compliance-owned" and "Compliance-related" responses to the plans through several streams:
Internal Controls and Compliance Program: covers enhancements, including; a. Global Markets businesses (FX Local Markets, Commodities and Rates) b. Conduct Program; and c. Compliance and RISK
Compliance Risk Management Program: covering 2nd Lines of Defense (notably Compliance and Operational Risk Control)
Controls Review: covering a review of compliance policies and procedures with an appropriate risk-focused sampling of key controls (to be performed by Inspection Générale / Internal Audit
Development of Market Integrity Generic Control Plan ("MI GCP") framework/set up control; presentation and validation to Compliance ExCo of the MI GCP (phase 1)
Perform control testing on MI/PE framework within Americas CIB by sampling and framework analysis
Contribute to the final version of MI GCP Procedure, including all controls (controls by sampling and framework)
Assist in regional roll-out / full implementation of new MI GCP, including customization for Direct Market Access Businesses
Provide daily support for controls relating to the accurate, timely and complete reporting of the Firm's regulatory reporting obligations
Keep abreast of current business developments and regulatory issues that may impact the MI/PE risk environment.
Undertaking ad hoc projects related to business / regulatory controls
Minimum Required Qualifications:
BA or BS Degree a must
Minimum of 3 - 4 years of experience with a financial services or accounting firm o Preferably, exposure in Compliance, Risk, Finance, FX, Accounting, or related experience o Control Room experience/knowledge such as Conflicts of Interest, Information Barrier procedures, and Need to Know principle is desired
Must be highly organized and efficient with the ability to multi-task and meet tight deadlines
Think analytically and make decisions based on sound judgment
Possess excellent oral and written communication skills
Work effectively in a team environment and foster effective working relationships