Compliance Auditor

March 5, 2023
Employment contract
Standard / Permanent
Job / Mission
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In a changing world, unprecedented challenges require unmatched talent. Join one of Montreal's Top Employers in 2022. 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 Compliance Auditor will play a key role in supporting the internal audit team to independently assess the effectiveness of the governance framework that supports compliance risk management.

A strong background in compliance risk management, conduct compliance, or market activities auditing or consulting for Financial Services is a key requirement for this position. 

In detail

Specific Responsibilities include:

  • Conduct multiple, complex, concurrent audit assignments.
  • Responsible for the related audit scoping, planning, evaluating, reporting.
  • Write audit reports with value added recommendations.
  • Understand and assess the underlying risk applicable to the area of audit responsibilities through continuous monitoring activities.
  • Manage time and priorities while conducting audits.
  • Review and prepare risk assessments for Audit Units.
  • Develop and maintain relationships with heads/managers of business lines and functions as part of the continuous risk monitoring activities. 
  • Validate the adequacy and appropriateness of remediation or resolution plans to address regulatory and internal audit recommendations.
  • Deliver clear presentations to Senior Management and IG management.
  • Keep abreast of the evolution of auditing standards and key regulations covering compliance risk management and operational risk.
  • Adopt and promote strong ethical values.
  • Participate in various committees as assigned to provide reports and information on current/emerging business issues to top management.

The strengths and skills that will help you succeed

Minimum Required Qualifications:

  • Bachelor's degree in applicable and related field (Accounting and/or Finance preferred).
  • Six minimum years of audit and/or risk experience with compliance risk management in the banking industry.
  • Strong understanding of compliance risk management concepts and related regulatory expectations.
  • Solid understanding of the relevant risks and controls in market activities areas such as Trading, Origination, Distribution, Sales, Order Management and Trade Execution, Risk Management, and Operations.
  • Excellent verbal and written communication skills in English to interact effectively with the different stakeholders and regulators.
  • Ability to work in a team, liaise with other bank departments and adapt to new situations and approaches.

Preferred Qualifications:

  • Licenses and certifications such as FRM and CPA.
  • Experience is Banking Risk Management improvement or remediation projects. 
  • Strong knowledge of financial products, capital markets, banking industry and the related risks.
  • Direct auditing experience in one or more of the areas: Capital Markets, Equity/Fixed Income, Sales and Trading, Derivatives/Futures.

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 know

  • We will review candidates as they apply, so don’t wait to submit your application;
  • If you are selected to participate in the recruitment process, please inform Human Resources of any accommodations you may require. BNP Paribas will work with you to ensure that you are able to participate fully in the process;
  • You must be legally eligible to work in the Greater Montreal area and, if applicable, hold a valid work or study permit. Physical presence in BNP Paribas’ office(s) is an essential function of this position;
  • Given the vast majority of our clients, both internal and external, is based outside of Quebec and Canada, our positions require employees to speak another language than French – being English for most positions; other languages such as Spanish or Portuguese may be also specifically required and such will be clearly mentioned in the requirements of the position;
  • All BNP Paribas employees in Canada must be adequately vaccinated against COVID-19 on the date of hire, unless exempt for a reason protected by the Canadian Human Rights Act.

Diversity, Equity and Inclusion (DE&I) at the heart of our commitments

At BNP Paribas all employees are on an equal footing allowing us to create a work environment that values and respects people for their talents, skills and competences.

BNP Paribas recruits, employs, trains, compensates and promotes regardless of race, religion, colour, national origin, sex, disability, age, and other protected status (Employment Equity Act and Canadian Human Right Act).

To learn more about our DE&I commitments, click here

About us

BNP Paribas is the top bank in the European Union and a major international banking establishment. Present in 65 countries, with more than 190,000 employees, the bank holds key positions in several areas of banking and financial services.

BNP Paribas’ mission is to contribute to a responsible and sustainable economy by financing and advising its clients according to the highest ethical standards, while striving to respond to essential concerns in terms of the environment, regional development and social inclusion.

Since 1961, BNP Paribas has supported large Canadian companies and institutions in their business development by offering a full range of specialized financial services and investment products.

With over 1,200 employees, BNP Paribas in Canada continues to attract experts from diverse fields as well as ambitious young talent from around the world. We are proud to offer our employees a rewarding and international workplace where they can build their professional careers by honing their skills, meeting challenges and enriching their knowledge of the financial industry.

Our certifications and partnerships

  • Montreal Top Employer 2022
  • Women in Governance  – Parity certified –  Silver certification
  • CCDI Consulting Inc. (Canadian Center for Diversity and Inclusion)
  • Pride at Work Canada
  • Rainbow Accreditation issued by Canada’s LGBT+ Chamber of Commerce (CGLCC)
  • ROSEPH – Grouping of specialized organizations for the employment of persons with disabilities
  • IndigenousWorks

Do you want to discover other BNP Paribas offers in Canada?

Click here: BNP Paribas in Canada Our job offers

** Only selected applications that meet the requirements of the role will be contacted **