Type de contrat :
Permanent Contract

Compliance Testing and Monitoring Officer

Modified on 07/02/2025

  • Lieu : NEW YORK - United States Of America
  • Secteur : Compliance / Financial Security
  • Numéro de l'offre : 2025-96643

Job description

Summary:

 

Under supervision of the Head of Compliance Testing and Monitoring, as part of the Credit Agricole CIB Americas compliance function, responsible for executing testing reviews and monitoring activities and contributing to the continuous enhancements to the bank’s Compliance Testing and Monitoring program.

 

Key Responsibilities:

 

General

·         Plan and execute assigned compliance testing reviews of the various Banking business units / processes within the Organization, as part of the Annual Compliance Testing Plan.

·         Document testing work papers with sufficient details in accordance with the standards set out in the internal policy/procedures and that a third-party can reasonably understand the testing performed and the conclusion of the testing

·         Identify issues through testing and ensure thoroughly analysing the root causes and developing appropriate action plans to address the issues and root causes

·         Present review findings, confirm factual accuracy, and propose recommendations to relevant Department Management

·         Draft the testing review reports to document and formally communicate testing results to stakeholders which may include the Chief Compliance Officer, the Executive Committee and Senior Management

·         Track and monitor issues identified from the assigned compliance testing reviews to ensure the action plans are completed by action owns by the due date

·         Perform validation of action closure and prepare the action plan validation memo for Testing Unit Manager’s review and approval

·         Carry out and document compliance monitoring activities, as planned / scheduled in the Annual Compliance Monitoring Plan.

 

Other

·         Provide regular status updates on assignments and escalate any potential delays / issues to the Head of Compliance Testing and Monitoring

·         Contribute to the development of the Annual Testing Plan, Annual Monitoring Plan, and regular updates to the team’s procedures

·         Contribute to address requests / questions from Regulatory Exams and Internal Audit reviews covering Compliance Testing and Monitoring

·         Other tasks that may be assigned by the Head of Compliance Testing and Monitoring

 

Management and Reporting:

 

The position reports directly to CACIB US Head of Compliance Testing and Monitoring.

 

 

Key Internal Contacts:

 

Within the Compliance Division: CACIB US Compliance management and team leads

Outside the Compliance Division, regular interactions with Business Lines and Support Functions (Legal, Finance, Audit..) and ad-hoc interactions with CUSO and Group stakeholders

 

Key External Contacts:

 

N/A

Complément

Salary Range: $120k - $160k
#LI-DNI

  • Minimum level of study
    Bachelor Degree / BSc Degree or equivalent
    Training / Specialization
    At least 7 year experience in the financial services industry with a focus on compliance5 year Audit or Compliance Testing experience required, with a focus on capital marketExperience working in capital market regulators preferredProfessional designations in the auditing field (e.g., CPA, CIA, CISA) preferred
    Ability to manage multiple projects using technology and analytic techniques (advanced in excel) to work effectively and efficiently in a fast-paced environment.Strong attention to details and analytical skillsAbility to work with minimum supervisions and prioritize multiple tasks to focus on meeting the expected timelinesGood communication skills to be able to present clearly and concisely to all levels of stakeholders and ability to build rapport and partnership with stakeholders
    Good knowledge of risks and controls, including analyzing risks, identifying and documenting controls, and assessing control design and operating effectivenessStrong knowledge of areas such as capital markets, debt capital markets, investment banking, and corporate banking coverage as well as broker-dealer / swap dealer regulatory framework such as SEC, FINRA, NFA, CFTC rules 
    Skills needed
    General knowledge of one or more of other banking products/services and regulations preferred:·         FRB / NYS DFS regulations·         Business Conducts (Anti-Bribery & Corruption, Whistleblowing, Conflicts of Interest, Conduct Risks, Fraud risks etc.)·         Financial Crime (AML, Sanctions/OFAC)Other regulations (privacy, tax compliance, cybersecurity etc.)

  • About Crédit Agricole Corporate and Investment Bank (Crédit Agricole CIB) Crédit Agricole CIB is the corporate and investment banking arm of Crédit Agricole Group, the 10th largest banking group worldwide in terms of balance sheet size (The Banker, July 2022). 8,600 employees in more than 30 countries across Europe, the Americas, Asia-Pacific, the Middle-East and North Africa, support the Bank's clients, meeting their financial needs throughout the world. Crédit Agricole CIB offers its large corporate and institutional clients a range of products and services in capital market activities, investment banking, structured finance, commercial banking and international trade. The Bank is a pioneer in the area of climate finance, and is currently a market leader in this segment with a complete offer for all its clients. For more information, please visit www.ca-cib.com Twitter: https://twitter.com/ca_cib LinkedIn: https://www.linkedin.com/company/credit-agricole-cib/ By working every day in the interest of society, we are a group committed to diversity and inclusion. All our positions are open to people with disabilities.

Crédit Agricole CIB

Crédit Agricole CIB

Compliance Testing and Monitoring Officer

Published the 07/02/2025

Type de contrat :
Permanent Contract
  • NEW YORK - United States Of America
  • Compliance / Financial Security
  • 2025-96643

These offers may interest you!