Compliance Independent Testing Examiner

November 10, 2023

Compliance Independent Testing Examiner


  • Standard / Permanent
  • CA-QC-Montréal
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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

 You will be part of the Compliance Independent Testing (CIT) team in Montreal reporting to Compliance Independent Testing management and ensure regional coverage of testing and monitoring activities for BNP Paribas in North and South America.

In detail

Independent Testing execution

  • Execute independent testing on the first and second lines of defense as defined per internal control procedures and regulations 
  • Independently and accurately perform assigned reviews and monitoring tasks under the supervision of a Manager within CIT in order to assess compliance with legal, regulatory and internal firm policy requirements.
  • Conduct compliance testing of regulatory requirements, processes, policies, procedures, and controls under the direction of CIT Managers in order to assess and review compliance with legal, regulatory and internal firm policy and procedure requirements.
  • Execute, formalize and report on assigned tasks and direct controls within CIT responsibility.
  • Escalate weaknesses identified to CIT Managers for discussion and further investigation if deemed necessary.
  • Draft and validate issues and recommendations addressing the root cause of the issues with stakeholders.
  • Ensure that all findings and recommendations are entered into the appropriate tool for tracking purposes, perform periodic follow-up with stakeholders of open issues and review/validate submitted closure evidence to ensure proper resolution.
  • Enhance, deliver, and support the annual CIT Plan, ensuring coverage for existing Firm standards, new regulations, changes to existing regulations, and any audit or exam findings.
  • Achieve objectives within strict time constraints.

Contribution to the CIT team:

  • In the spirit of continuous improvement, assist with the identification of potential enhancements to the CIT process, tools, reporting and analytics and provide suggestions on how to improve, add to, or streamline current practices in the firm.
  • Assist the team manager with tasks which may include assisting in testing reviews, preparing materials, organizing meetings, and taking minutes.
  • Respond timely to internal or external requests for information and analysis.
  • Assist with related Compliance monitoring activities as needed.
  • Promote a compliance culture within the firm which supposes also to update knowledge on a regular basis.

The strengths and skills that will help you succeed

  • Minimum 3 to 5 years’ experience working for a financial services firm and/or self-regulatory organization in a Compliance Monitoring/Testing, Internal Audit or regulatory related position.
  • Working knowledge of capital markets and investment banking activities and regulatory requirements governing those activities.  
  • Strong analytical, organizational abilities, project management skills and attention to detail.
  • Problem solving, critical thinking, investigative and root cause identification skills. 
  • Advanced computer skills including MS Excel (including macros), Word, and PowerPoint; Power BI is a plus.
  • Excellent execution skills with the ability to work successfully under demanding deadlines. 
  • Team player with ability to work collaboratively across Compliance.
  • Excellent interpersonal and communication skills with the ability to interact effectively with front and back office staff, senior management, and the Americas regions. 
  • High ethical standards.
  • Flexibility to adapt to a new and changing environment.
  • BA or BS Degree a must.
  • Knowledge of the English language is required. 

Preferred Qualifications;   

  • Working knowledge of regulations governing capital markets and banking, with a key focus on U.S. banking regulations, securities, commodities and Federal Reserve Bank Supervisory Letter SR 08-08 and the current regulatory environment.
  • Ability to apply knowledge of rules and regulations to numerous types of trading activities and operational arrangements in addition to interpreting the effect of new regulations on these activities.
  • Securities licenses a plus (e.g., Series 3, 4, 7, 9/10, 24)

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, are based outside of Quebec and Canada, specific language requirements may apply. These will be clearly mentioned in the qualifications of the position;

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 2023
  • Canada’s Best Diversity Employer 2023
  • Women in Governance  – Parity certified –  Gold 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
  • Part of Les Affaires top 300 companies in Quebec

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 **