Surveillance Oversight Compliance Officer

March 6, 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 Surveillance Oversight Compliance Officer will be responsible for performing a subject matter expert “re-performance” of controls over the CIB Surveillance framework.  The person works independently to evaluate the extent to which surveillance investigators have complied with applicable policies, procedures, standards and guidance materials issued by the Bank. 

In detail

The main responsibilities related to this position are:

  • Conduct re-performance of surveillance controls by sampling, providing overall ratings and analytics.
  • Provide evaluation feedback and a detailed analysis of action plans required to mitigate risk concerns.
  • Ensure that action plans properly communicated to risk owner, documented and perform periodic follow-up of open action items to ensure proper resolution, and validate closure.
  • Prepare and distribute written reports to senior management detailing risk concerns and re-performance action items.  
  • Identify and provide suggestions to enhance surveillance control framework and/or re-performance of controls methodology. 
  • Escalate potential issues and risk concerns noted during the re-performance of controls to Surveillance Oversight Management for discussion and further investigation if deemed necessary
  • Conduct or assist with special investigations and projects as deemed necessary by senior Compliance Management.
  • Respond timely to internal or external requests for information and analysis.
  • Achieve objectives within tight time constraints while balancing competing priorities.

The strengths and skills that will help you succeed

Minimum Required Qualifications:

  • Two to five years of experience with a financial services firm and/or self-regulatory organization in a compliance or regulatory related position.
  • Exposure to trading desks, capital markets and the securities industry.
  • Knowledge of U.S. securities, commodities, and banking regulations.
  • Attention to detail and the ability to manage multiple undertakings at the same time and with different level of granularity, constantly keeping focus on priorities.
  • Analytical ability to manage a project.
  • Ability to develop and adapt a process.
  • Ability to influence, Critical thinking, Adaptability, Active listening, Organizational skills.
  • Bachelor’s Degree required; Master’s Degree a plus.
  • Good verbal and written communication skills in English

Preferred Qualifications:

  • Prior trade surveillance experience.
  • Prior trading background and/or trade flow experience a plus.
  • Product knowledge (Fixed Income, Equities/Derivatives, Commodities, etc.).
  • Securities licenses and other related professional certifications a plus.

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 **