Regulatory Reporting and Control Sme

2 weeks ago

Montreal, Quebec, Canada BNP Paribas Full time
REGULATORY REPORTING AND CONTROL SME (

JOB NUMBER:
OPS EML)

In a changing world, unprecedented challenges require unmatched talent. Join one of Montreal's Top Employers in 2023.

We are a dynamic and growing organization having its main establishment located in downtown Montreal and part of a leading international banking institution fully committed to building a more sustainable future.

Note that the position may be in the Canadian Branch of BNP Paribas or in one of its subsidiaries based in Montreal.


The position at a glance


The Regulatory Reporting Controls (RRC) Group is a department within Control & Regulatory Oversight that covers regulatory reporting sent directly to various regulators including FINRA, CBOE, ISE, FRB, IIROC, and others.

The group is also responsible for performing T+1 regulatory control reconciliations to identify issues after reports are disseminated to the regulators.

These control reports will be circulated to the firm's management to provide insight of the regulatory health of broker dealers.


In detail


Preparation of various daily regulatory reporting of the following (but not limited to) providing daily regulatory reports to the regulators as well as internal groups that need the information immediately.

Most of the reports are time sensitive and that is why RRC is looking to grow the staff in order to meet these deadlines.

Below is a list of some of the responsibilities that the role will be responsible for supervising and ensuring processing.


  • Daily Electronic Bluesheet submission review, investigation and escalation
  • Daily Statements & Confirmation review and supervisory
  • Key Risk Indicators for the bank in order to provide senior management with insight of daily controls
  • Participate in various industry working groups related to new rules and regulations.
  • Writing of Supervisory Procedures.
  • Processing quarterly 17A13 counterparty confirmations and reconciliations
  • Work on various regulatory projects and create controls necessary to implement new rules and regulations and ensure compliance within those rules. Rules and regulations that we involved but not limited to 13G H F, LOPR, TRACE, ACT, Consolidated Audit Trail, 15C33, 17A5, Canadian Debt Transaction Reporting, FRB reporting etc.
  • Preparation as Business Requirement Documents to support projects related to new and changing industry rules and regulations.
  • Creation of Project test plans as required to implement new controls and process in accordance to new industry rules and regulations.
Statistics and Metrics follow-up

  • Daily control and analysis of the control breaks
  • Perform supervisory control of tasks
  • Release weekly and monthly reports to management
  • Perform analysis of post month end/quarter end incidents
IT developments follow-up

  • Escalate as soon as possible the potential technical issues that could put the production at risk, impacting productivity or operational risk.
  • Identify and evaluate the system development's needs. Take part to the ROI evaluation and follow up on prioritization.
  • Take part to the team's projects (validate specification, perform UAT, etc.)

The strengths and skills that will help you succeed

  • Bachelor's degree in Accounting, Finance, Business or similar.
  • 5 yrs.+ of experience in a similar role
  • Knowledge of the English language required
  • Understanding of Broker/Dealer Compliance and Capital Markets
  • Product knowledge of Equity and Fixed Income
  • Excellent written and verbal skills, with confidence and composure at all levels of the business hierarchy
  • Change agent with exemplary attitude: innovative, enthusiastic, rigorous, execution oriented.
  • Highly skilled multitasker with efficient organization skills.
  • Highly ethical and control oriented.
  • Highly organized and adept at managing competing deliverables.
  • Strong team skills but comfortable working independently with clear directives.
  • Excellent desktop skills including Excel, Word and PowerPoint.
  • Innovative and adept at assessing process improvement.
  • Ability to make him/herself available and take over any task of the team
  • Change agent with exemplary attitude: innovative, enthusiastic, rigorous, execution oriented
  • Respect and value each team member's contribution
  • Act with integrity, accepting responsibility for actions
  • Recognize opportunities for creativity and development of processes

What's in it for you


In addition to competitive compensation, we offer flexible benefits including a family and spouse insurance program, a defined contribution pension plan and paid days for volunteering.

Hybrid work arrangements, such as remote working up to 50% and flexible working hours are available for most positions.

BNP Paribas provides excellent training and personal development programs, as well as opportunities for career development within the company and internationally.

To find out more about our range of benefits, click here

**What you need to k

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