Permanent Contract

Monitor & Surveillance Compliance Officer (Director)

Modified on 20/08/2024

  • NEW YORK - United States Of America
  • Compliance / Financial Security
  • 2024-91997

Job description

Summary:

The Fixed Income Compliance Officer is responsible for day-to-day monitoring and surveillance of the Global Markets Division (“GMD”) Swap Dealer and U.S. Broker-Dealer.  

 

 Key Responsibilities:

 

-Assist in developing and implementing policies and procedures related to NFA/CFTC/FINRA/SEC Rules and Regulations.

-Complete monthly/quarterly/annual controls for swap dealer activity (ex. Pre-Trade Mid-Market Mark, Daily Marks, Trade Reconstruction, etc.)

-Review daily broker-dealer surveillance (ex. Off-Market, Markup/Markdown, etc.)

-Perform routine electronic/voice communication surveillance to ensure compliance with applicable regulations when necessary.

-Assist in providing guidance and advice to the GMD staff on compliance issues.

-Provide ad hoc training to GMD staff when necessary.

-Report to Senior Compliance staff and/or the relevant senior GMD staff on the main identified weaknesses and/or compliance risks within GMD and set out recommendations for changes.

-Assist with special projects reports of various business lines.

-Research and respond to regulatory inquiries.

 

 

Management and Reporting:

 

The Fixed Income Compliance officer reports directly to the US Head of Global Markets Regulatory Compliance Monitoring & Surveillance. 

 

 

Key Internal contacts:

 

o    All GMD business units;

o    IT Department;

o    Legal department;

o    Audit department;

o    Risk departments; and

o    Operations departments.

 

 

 

Key External contacts:

 

The Firm’s regulators, including but not limited to FINRA, SEC, NFA, and CFTC. 

 Salary Range: $180k - $220k

    • Minimum level of study
    • Bachelor Degree / BSc Degree or equivalent
    • Training / Specialization
    • Bachelor’s Degree
       At least 8+ years of working experience preferably in the banking/brokerage industry.
       Series 7, 24 and NFA SPR (or ability to obtain within the first year of employment) 
      -Advanced knowledge of the U.S. Swap Dealer regulatory framework, specifically CFTC and NFA rules and regulations -Knowledge of Fixed Income products, offerings and trading as well as publication of transactions and quotes -Ability to handle highly confidential and complex matters with sound judgment and in an ethical and professional manner -Analytical knowledge of capital markets issues and experience with interaction with sales/trading personnel and senior management -Work well in a team environment displaying leadership qualities; strong written and oral communication skills -Expert with Microsoft Excel, Word and PowerPoint
       Working knowledge of all Fixed Income / Swap Products 
       Strong understanding of CFR Parts 43 and 45 transaction reporting and the ability to produce KPI reports for management. 
    • Minimum experience level
    • 6-10 years

  • 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
Crédit Agricole CIB

Crédit Agricole CIB

Monitor & Surveillance Compliance Officer (Director)

Published the 20/08/2024

Permanent Contract
  • NEW YORK - United States Of America
  • Compliance / Financial Security
  • 2024-91997

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