Mission statement:

The Combined US Operations (CUSO) Compliance function leads the Compliance function within the region and provides oversight to several Credit Agricole (CA) functions and entities, primarily involving wholesale banking and investment management activities.  CUSO Compliance is responsible for developing and coordinating a comprehensive and integrated Compliance function through effective management of the Compliance teams and the establishment of uniform standards of operation amongst the various CA entities within the region. 

CUSO Compliance seeks an individual to join the department and report to the Head of CUSO Compliance Controls Testing, being responsible for supporting the establishment of standards and coordinating compliance controls testing activities across all business lines on behalf of the regional Compliance operations by:

·          Attending weekly Testing Working Group meetings and coordinating materials for the meetings;

·         Supporting the Head of CUSO Compliance Controls Testing (and the Entity Compliance Controls Testing Heads, Officers and Associates) with the implementation and sustainability of a consistent US Compliance Controls Testing Program, related to all aspects of documentation, Policies and Procedures, across CUSO.

·         Support the development and maintenance of the Annual Compliance Controls Test Plan for CUSO.

·         Completing CUSO Compliance Controls Testing Assignments related to the completion of timely reviews related to: 1) US Entity Quality Assurance over testing work papers and associated materials; and 2) CUSO-specific Compliance Controls in line with the associated CUSO Compliance Controls Testing Policy and Procedures.

·         Supporting the development and maintenance of an internal control inventory in support of the CUSO Internal Control Framework/Policy.

·         Compiling and producing associated management reporting for Compliance Controls Testing.

This role requires an understanding of US bank regulations and, ideally, experience in dealing with institutional investment banking and asset management organization. The individual should also have an understanding of related regulations (including but not limited to AML, USA PATRIOT ACT, Federal Reserve Regulations Y, W, K, YY and other related topics) and strong organizational and communication skills. 

The successful candidate should be able to effectively collaborate within a team setting and possess excellent interpersonal, writing and organizational skills.  This role will require coordination and proactive outreach to various groups and divisions within Credit Agricole to collect and communicate information concerning business activities, controls, and the potential risks to the bank. The individual will also periodically interact with management and regulatory representatives, as well as assist in the development of corresponding materials.  

Salary range: $130,000 - $170,000

BA/BS; Advanced Degree a plus

At least 5 years of professional experience in a banking or regulatory organization with specific knowledge of testing, internal control and quality assurance processes within financial institution, ideally in investment banking and asset management organizations.    

Experience with international financial organization

Regulatory experience a plus

Ability to think strategically and develop solutions to complex situations.

Talent in leading strategic programs and projects within complex environments to ensure the execution of critical programs.

-Awareness of regulatory rules and requirements including local and US laws, international and industry standards
-Overseeing and maintaining the CUSO Compliance Controls/Testing policies and procedures
-Experience in developing and implementing gathering, reviewing, investigating and analyzing data and responding to regulatory inquiries
-Strong analytical, problem-solving and organizational skills
-Capable of leading multiple, simultaneous and various ad-hoc requests
-Demonstrated history of initiative and leadership
-Ability to prioritize and work in a dynamic, deadline-focused environment
-Analytical capability: able to break down complex problems into manageable units while developing solutions
-Strong intellect with consistent application of analytical skills and a capacity to translate technical and complex issues for broader audiences in a straightforward manner
-Result oriented: setting goals and priorities that maximize the use of resources available to consistently deliver quality results
-Communication Skills: excellent verbal, written and presentation skills with the ability to interact with stakeholders at all levels within the organization

-Strong interpersonal effectiveness

-Confidence in taking responsibility and resolving problems with strong influencing and negotiating skills while recognizing the need to work with colleagues and to seek guidance if necessary; a hands on approach that extends to taking practical initiatives as necessary to drive issues forward

-Technical rigor and attention to detail coupled with good presentation skills that demonstrate the practical implications of issues

Languages                                                                                              

English

French is a plus