Claudia Lewis
Managing Director, Americas Ethics and Compliance, BNP Paribas
Claudia S. Lewis has led the Americas Market Integrity and Global Banking Regulations Group (including Latin America and Canada), headquartered in New York, since 2015. In her role, Ms. Lewis oversees compliance management and operational guidance for CIB and ALM Treasury, with a focus on identifying and mitigating potential business risks and promoting a culture of Compliance and Conduct throughout the organization. Her responsibilities within MI Americas include directing teams tasked with coordinating and implementing policies, procedures, and guidance for market activities, as well as supervising teams covering the U.S. Control Room, Global Banking Regulations (GBR), and U.S. Registration and Licensing.
Ms. Lewis’ GBR team offers specialized advice regarding cross-border regulations, such as the Dodd-Frank Volcker Rule, Commodity Futures Trading Commission (CFTC) Swaps, Securities and Exchange Commission (SEC) Security-Based Swaps rules, extraterritorial regulations: Volcker and French Banking Laws. She is dedicated to effective management of these regulatory requirements across business and all subsidiaries, risk, compliance, operations, technology, and other control functions.
Prior to her current responsibilities, Ms. Lewis joined BNP Paribas in 2008 where she managed compliance for BNP Paribas Prime Brokerage, Inc., developing and executing control strategies for Equity Finance and Prime Brokerage businesses—including the Global Structuring Group, Prime Services Sales & Trading, Global Securities Lending, and Correspondent Clearing Services. She also held the registered position of Chief Compliance Officer for the firm’s Canadian broker-dealer registration and worked extensively with regulators and governmental bodies in the hedge fund sector.
Before joining BNP Paribas, Ms. Lewis held senior compliance roles at Bank of America, including Senior Vice President for the Prime Brokerage Division and Chief Compliance Officer for Bank of America Finance Services and Securities Lending Business. Additionally, she provided compliance oversight for the Equity Derivatives business for two years prior to her tenure in Prime Brokerage.