Conduct surveillance of employee personal trading through various monitoring tools, including the review of alerts, investigation of potential violations, approval of pre-clearance requests, maintenance of brokerage accounts, and reconciliation of employee trading activity.
Investigate CR and employee trading matters, prepare appropriate documentation and communications, escalate issues when necessary, and provide compliance guidance to employees, management, and business stakeholders.
Monitor regulatory developments impacting CR activities and recommend enhancements to policies, procedures, controls, and surveillance processes.
Registration
Manage the US Registration Program, including FINRA, SEC, NFA (where applicable), and state licensing requirements, ensuring timely registrations, amendments, transfers, terminations, and continuing education compliance.
Maintain registration records and provide guidance to employees and management regarding licensing and regulatory obligations.
Governance & Compliance
Develop, maintain, and enhance policies, procedures, operating instructions, and governance documentation.
Support regulatory examinations, internal audits, regulatory inquiries, and remediation efforts.
Develop and deliver Compliance training, conduct new hire orientations, and support the administration of Outside Business Activities (OBA) and Private Securities Transactions (PST).
Prepare management reporting, compliance metrics, and documentation for senior management, governance committees, regulators, and internal stakeholders.
Participate in initiatives to improve CR processes, surveillance capabilities, compliance technology, and operational efficiency, while collaborating with Global Compliance and other control functions.
Education and Experience requirement
Bachelor’s degree in Business, Finance, Economics, Law, or a related field, or equivalent relevant experience.
Minimum of 4 years of Compliance experience within US regulated financial institutions, preferably supporting Corporate & Investment Banking.
Experience managing or supporting CR, Information Barriers, Employee Personal Trading, Conflicts of Interest, and Registration programs.
Strong knowledge of SEC, FINRA, CFTC, NFA, Broker-Dealer, Capital Markets, Swap Dealer regulations.
Experience supporting regulatory examinations, internal audits, and regulatory inquiries.
Experience with surveillance platforms such as MCO or similar systems.
Preferred: FINRA SIE, Series 7 and Series 24. Candidates who do not hold these licenses may be required to obtain the appropriate registrations as a condition of employment, if applicable.
Skills
Strong knowledge of US securities regulations and Control Room practices.
Strong analytical, investigative, organizational, and project management skills.
Proficiency in Microsoft Excel and Google Workspace.
Excellent written and verbal communication skills with the ability to build strong relationships across business and control functions.
Ability to manage multiple priorities while maintaining a high level of integrity, confidentiality, and attention to detail.
Bilingual English/Spanish preferred.
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
With respect to this position in our New York Office, the expected base salary ranges from $130,000 to $145,000. It is not typical for offers to be made at or near the top of the range. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, certifications obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package, successful candidates are eligible to receive a discretionary bonus.
Employment eligibility to work with BBVA in the U.S. is required as the company will not pursue visa sponsorship for these positions
Legal requirements
It is not typical for offers to be made at or near the top of the range. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, certifications obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package, successful candidates are eligible to receive a discretionary bonus.
Pay Transparency Policy Statement
The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information (41 C.F.R. 60-1.35 (c)).
Individuals with Disabilities
BBVA USA, BBVA Securities Inc., and BBVA S.A. New York Branch invite all interested and qualified applicants to apply for employment opportunities. If you are a U.S.-based job seeker with a disability who is unable to use our online tools to search and apply for jobs, please contact us by emailing: disabilityaccessjobs.us@bbva.com or by calling toll-free (in the U.S.) 1-844-664-9275. Please indicate the specific type of assistance needed*.
The disability access telephone line and email address are reserved solely for job seekers with disabilities requesting accessibility assistance or an accommodation. Please do not call about the status of your job application if you do not require accessibility assistance or an accommodation. Messages left for other purposes, such as following up on an application or non-disability related or technical issues, will not receive a response.
EEO Statement
BBVA USA, BBVA Securities Inc., and BBVA S.A. New York Branch have a firm and unwavering policy to provide equal employment opportunity without regard to age, citizenship, color, disability, ethnic origin, gender, gender identity and expression, marital status, nationality, national origin, race, religion, sexual orientation, genetic predisposition, protected veteran status, or any other status or classification protected by federal, state or local law. This policy includes all job groups, classifications and organizational units. With regard to employment, this policy extends to applicants and covers our recruiting, hiring, promotion, transfer, demotion, discipline, termination, benefits, compensation and training practices as well as social and recreational activities.
View the "EEO is the Law" & "View the EEO is the Law Supplement Poster" poster. BBVA USA, BBVA Securities, Inc., and BBVA NY are equal opportunity and affirmative action employer.
