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Vice President - Registrations Compliance Officer

Company: BNP Paribas
Location: Jersey City
Posted on: January 15, 2022

Job Description:

Business Overview:The Registrations Compliance team supports BNP
Paribas Securities Corp. (U.S. SEC/FINRA registered broker-dealer; NFA/CFTC
registered futures commission merchant/swap firm; holds memberships with
various principal U.S./Non-U.S. exchanges/regulators) and its registered
personnel from a licensing and registration perspective. In addition, the team
supports BNP -Paribas' (CFTC registered swap dealer) from an entity perspective
and registration of its principals. The team collaborates closely across all
business lines to ensure the firm and its registered employees are satisfying
their regulatory obligations.Candidate Success Factors:Candidates will be measured on the following four performance drivers
which will dictate how individual impact is considered on the Americas
platform:Results and ImpactLeadership and CollaborationClient, Customer and Stakeholder FocusCompliance Culture and ConductResponsibilities:Registrations Compliance is responsible for
maintaining accurate and complete FINRA and CFTC/NFA registration for
Registered Representatives of BNP -Paribas Securities Corp and the swap
dealer(s). In addition, ensuring the appropriate corporate filings and
reporting obligations are timely satisfied. Provide advice/guidance on registrations/licensing requirements,
processes and proceduresTimely process Form U4, U5, 8R and 8T.
Ensure that all new employees joining the firm in a position which
requires securities/futures license(s) are adequately licensed or pass the
appropriate exams. - Maintain CRD and NFA account to cover registration fees, fingerprint
card fees, exam fees, etc. - - Prepare waiver/exemption letters for qualified representatives as
needed. - Coordinate/process Form BD/Form 7R filings/amendments on behalf of broker
dealers/FCMs/swap dealer.Track/monitor pending exams for employees required to be licensed. - Update and distribute list to senior
management, supervisors, business management & compliance advisory on a
monthly basis.Ability to navigate
FINRA Gateway/Web CRD, NFA ORS, Winjammer Electronic Filing SystemPartner with the various
departments on initiatives, projects, policy, procedure development and issue
resolution to mitigate risk.Develop/enhance
policies, procedures and processes to comply with the regulations - SEC, CFTC,
FINRA, NFA, state jurisdictions and other Self-Regulatory OrganizationsParticipate in industry
working groups/organizations (e.g. SIFMA, Association of Registration Mgt),
attend networking events and conferences leveraging information to drive
optimal issue resolutionContinuing Education: Responsible for notifying registered
representatives of their regulatory element continuing education
requirement. - Maintain log of registered
representatives' completion and send reminder notifications to reg. rep.,
supervisors and compliance officers when approaching deadline. Quickly escalate
matters to supervisors, compliance advisory should there be evidence of
non-compliance.Notify all representatives registered as Associated Persons/Swap APs on
behalf of BNP -Paribas Securities Corp. with the National Futures Association of
their ethics training requirements.Coordinate with vendor to have ethics training material disbursed. - Monitor completion and swiftly escalate
overdue requirements.Work closely with Americas Compliance Training team to identify
registered employees who are required to satisfy Firm Element training
requirements.Regulatory Reporting/Filings: Play a key role in managing/processing filings in
accordance with FINRA, NFA and CFTC rules/regulations. Notify the appropriate
departments when regulatory filings are required/due. Work closely with
supervisors, business management, Ethics & Compliance, Legal and HR to
gather required information/documents for filings with regulators.
Coordinate/submit
FINRA 4530 filings; certain CFTC 1.12 filings; quarterly swap dealer Risk Exposure
Reports; swap dealer/FCM annual CCO reportsMinimum Required Qualifications:BA or BS required.Minimum of 10 years of
compliance experience with a broker dealer/financial services firm in a similar
role. Strong knowledge of US registration
rules and regulations, especially those of the SEC, FINRA, CFTC/NFA and U.S.
state jurisdictions.Excellent execution skills with the ability to work
successfully under demanding deadlines, manage multiple tasks and projects at
the same time and in a change management environment.Strong organizational and
project management skills and attention to detail.Excellent interpersonal and communication skills
with the ability to interact effectively with front and back office staff and
senior management.Team player and ability to
work collaboratively across the platform. Ability
to understand implications of new regulations and to apply regulations to
varying "real world" situations. - Preferred Qualifications:U.S. registration and licensing experience a plus.FINRA Registrations Required:Licenses helpful, but not required.CFTC Swap Dealer
Associated Person (if yes, NFA Swaps Proficiency Program is required): Not ApplicableSEC Security-Based Swap Dealer Associated Person:Not ApplicableBNP
Paribas is committed to providing a work environment that fosters diversity,
inclusion, and equal employment opportunity without regard to race, color,
gender, age, creed, sex, religion, national origin, disability (physical or
mental), marital status, citizenship, ancestry, sexual orientation, gender
identity and gender expression, or any other legally protected status.Primary Location: US-NJ-Jersey CityJob Type: Standard / PermanentJob: MISCELLANEOUSEducation Level: Bachelor Degree or equivalent (> = 3 years)Experience Level: At least 10 yearsSchedule: Full-timeReference: COM002019

Keywords: BNP Paribas, Jersey City , Vice President - Registrations Compliance Officer, Executive , Jersey City, New Jersey

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