Market Integrity

2 weeks ago

Montréal, Canada BNP Paribas Full time

MARKET INTEGRITY / PIC COMPLIANCE OFFICER (JOB NUMBER: COMP-072423-001-SOS)

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 Americas Market Integrity (MI) Domain and Protection of the Interests of Clients (PIC) Domain are parts of the Ethics and Compliance Department that provide transversal support to all of the business functions performed in the US, Canada and Latin America.

The MI Domain seeks to ensure that BNP Paribas participates in markets and exchanges in an orderly, transparent, and fair manner, acting as an honest counterparty to other market entities and to the public at large. The MI/PIC Assistant Vice President will provide analytical and logístical support for the Americas Market Integrity Domain. Included activities will range from topical research on actual and proposed market rules and regulatory trends to preparation of summary materials for relevant stakeholders to substantive review of policies, procedures, and notices.

The PIC Domain is tasked with ensuring that the Firm treats every customer straightforwardly and honestly, minimizing conflicts of interest and maintaining the highest standards of customer service in both its communications and its recommendations. With regard to PIC, this position will execute all PIC-related Compliance initiatives throughout the Americas, including trainings, advice to the various business lines, and the tracking and evaluation of customer complaints.

**In detail**
- Liaise with Compliance Advisors on new regulatory implementations and discuss with Conduct and Controls as to impact on policies and procedures, trainings, Committee reporting.
- Work with the Supervisory Relations Group to understand inquiries, investigations, and examinations planned/initiated by the Capital Markets Regulators. Keep abreast of the status of each of these initiatives and address any issues that arise by working with the Compliance Advisor covering that business line.
- Assist in remediation of any weaknesses determined by the Regulators and provide advice on suggested improvements. Assist in the creation of action plans, any changes required to rules inventory, effective controls and continuous monitoring that would be required. Assist in preparing status reports of these initiatives to Internal Compliance Committees, Domain Committees and Board reports.
- Work with Compliance Advisors to build trainings due to improvements identified; and advise and perform training sessions within Compliance or Businesses as needed in coordination with MI and PIC Domains (CIB and Central)
- Monitor that CIB Compliance manual remains current and work with Conduct and Controls Department to review that there is consistency between the CIB Compliance manual and the WSPs.
- Coordinate with the Compliance Domains to determine issues to present to the quarterly forums. Assist in planning and coordinating the Americas MI/PIC meetings and seminars.
- Work with the CCO to evaluate the self-reporting of any issues that arise.
- Manage the life cycle process for the MI and PIC policies, procedures and standards documents, including the enhancement of processes, regionally. Ensure those policies, procedures and standards applicable to Canada and Latin America are developed, maintained and sustained at the same high quality level as those for the U.S. territory entities and aligned with Group MI Domain policies and procedures. Adapt Global policies (if needed) and ensure Business translates policies into operational procedures.
- Maintain accurate records and metrics for MI and PIC Compliance policies, procedures and standards.
- Ensure robust communication and reporting channels exist with key stakeholders while also proactively providing appropriate related assurance to Management, including MI and PIC Domains, that policies, procedures and standards are maintained in a proactive fashion.
- Keep abreast of current business developments and regulatory issues that may affect MI and PIC Compliance risk environment, e.g. FINRA Notices.
- Assist with the implementation of MI and PIC initiatives (tools, policies...).
- Define the strategic orientation of MI and PIC Compliance activities, roadmap and action plans.
- Organize a consistent and coherent Compliance operating model and rollout of Group Compliance policies, processes and projects.
- Assist in the development of Market Integrity Generic Control Library (“MI GCP”) and PIC GCL framework/set up control.
- Leverage a good technical grasp of products manufactured and sold by CIB, upon consultation, recommend adjus

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