Vice President - Regulatory Reporting Lead

This role is within the CMI (Capital Market Initiatives) team, part of CCCO (Chief Conduct & Control Office) under ITO (Information Technology & Operations) in the CIB AMER (Corporate & Institutional Banking for Americas) division. The US/Americas ITO CCCO department covers information security, operational resilience, IT and Cyber GRC (Governance, Risk and Controls), and ITO CDO (Chief Data Office). The ITO CDO team ensures data and controls across IT applications, record retention policies, and regulatory change implementation within IT platforms. The CMI team drives projects, ensures controls, and provides governance for transaction regulatory reporting within CIB for registered swap-dealer and broker-dealer entities.

Candidate Success Factors

• Results and Impact: Able to influence peers and team, demonstrates good judgement in high-complexity decisions, exercises appropriate autonomy, and drives meaningful outcomes for the team or department.
• Leadership and Collaboration: Creates trust with colleagues and acts in a leadership capacity for projects, processes, or programs.
• Client, Customer and Stakeholder Focus: Builds relationships with colleagues and clients, interacts regularly with management, and influences stakeholders at the team level.
• Compliance Culture and Conduct: Takes responsibility for personal actions, demonstrates high moral character, upholds corporate values, and displays high ethical standards.

About The Role

The CMI team is seeking a Vice President to report to the ITO Chief Data Officer. The Regulatory Reporting Office ensures compliance with FINRA and SEC regulations related to Americas reporting, including broker-dealer reporting such as CAT, TRACE, LOPR, and TRF. This role involves collaborating with various departments to gather data, analyze reporting requirements, and implement best practices in regulatory reporting.

Responsibilities

• Regulatory Reporting: Ensure proper control around timely submission and accurate regulatory reports to governing bodies, and ensure compliance with the Bank’s regulations.
• Data Analysis: Analyze reporting gaps or issues identified by operational teams, define and implement KPIs for regulatory reporting, and present findings to internal governance groups.
• Collaboration: Work with Business and ITO stakeholders to understand operational and strategic needs, and communicate effectively with regulators and stakeholders regarding reporting requirements.
• Documentation and Process Improvement: Maintain thorough documentation of reporting processes and methodologies, and act as a point of contact for inquiries related to regulatory reports.
• Process Governance: Manage governance forums related to transaction reporting, oversee the IT BoW priority for regulatory reporting scope, and serve as the primary liaison between regulatory compliance, technology, front-office, audit, and senior leadership.
• Project and Change Management: Participate in major or complex regulatory reporting events or new obligations, lead interpretation and documentation, and prepare reg-tech solutions and reporting enhancements to stay ahead of compliance requirements.

Requirements

• Minimum 7+ years of hands-on Broker Dealer transaction reporting experience.
• Proven track record in large financial and international banking institutions.
• Deep understanding of SEC/FINRA transactions reporting rules and related implementation frameworks.
• Comprehensive knowledge of Fixed Income Securities, Listed and OTC Securities including equities and options.
• Direct exposure to front-office data elements and regulatory workflow across multiple asset classes.
• Strong capability to synthesize complex processes, identify gaps, and devise actionable solutions.
• Exposure to multi-cultural and complex international banking organizations.
• Experience with data elements and process workflow in Front Office or Regulatory across asset classes.
• Proven ability to coordinate and influence cross-functional teams without direct line authority.
• Success in building high-performing, geographically dispersed teams.

Preferred Qualifications

• Bachelor or Master of Science in Finance, Business Administration, Business Analytics, IT, or related areas.

Pay

The expected starting salary range for this position is between $140,000 to $195,000 annually. The actual salary may vary based on relevant skills, experience, internal peer benchmarks, prior performance, business line, and geographic location.

Benefits

• Medical, dental, and vision coverage.
• 401(k) Savings Plan.
• Backup childcare.
• Life, accident, and disability insurance.
• Mental health support.
• Paid time off.
• Eligibility for a discretionary bonus.

About BNP Paribas

BNP Paribas is a leading bank in Europe with an international reach across the US, EMEA, and APAC, employing nearly 190,000 people in 65 countries. In the US, the bank employs over 3,500 people across 10 states. BNP Paribas offers a full value chain for clients, from trading to financing, clearing, and custody, with a strong international footprint. The company is committed to diversity, equity, and inclusion, fostering an environment where employees drive change and make an impact.