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Director - Equity Capital Markets Compliance Advisor
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$189,000 - $275,000 a year
Full-time
- Business Overview: We are conducting a search for an experienced Compliance Officer to cover the Equity Capital Markets (“ECM”) business for BNP Paribas in the Americas.
- The Compliance Officer covering the ECM businesses will be part of a larger team responsible for compliance coverage and challenge for the firm’s Global Equities Americas activities.
- Under Global Equities Americas, Compliance provides advisory coverage and challenge for various businesses and products including Cash Equities, ECM, Equity Derivatives, Equity Research, Futures Execution and Clearing/OTC Clearing, Prime Services, Strategic Equity, and Structured Products.
- RESPONSIBILITIES: The candidate will be responsible for providing compliance coverage to the Firm’s ECM business while also working closely with colleagues with primary responsibility for Sales and Trading, Compliance Control Room, Investment Banking, and Equity Research, in addition to coordinating with colleagues of foreign affiliates on cross-border initiatives/activities.
- Participate in internal investigations, assist in responding to regulatory inquiries, and coordinate internal and external audits and inspections.
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