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Compliance Analyst


Vacancy details

General information

Entity

About Crédit Agricole Corporate and Investment Bank (Crédit Agricole CIB)

Crédit Agricole CIB is the corporate and investment banking arm of Credit Agricole Group, the 12th largest banking group worldwide in terms of tier 1 capital (The Banker, July 2020). Nearly 8,400 employees across Europe, the Americas, Asia-Pacific, the Middle East and 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 markets 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/
  

Reference

2021-59115  

Update date

16/07/2021

Job description

Business type

Types of Jobs - Compliance / Financial Security

Job title

Compliance Analyst

Contract type

Permanent Contract

Job summary

Key Responsibilities of the Department

  • The FS Department in the UK is responsible for:
    Developing and/or implementing policies and procedures (local and global);
  • Developing and maintaining policies in line with evolving statutory and regulatory obligations, experience and industry guidance;
  • Establishing and maintaining training and awareness to relevant stakeholders;
  • Conducting quality checks to ensure compliance with policies, monitoring operations;
  • Acting as the primary point of contact for the UK business with regards to financial security matters;
  • Providing opinions on higher risk customer relationships and transactions;
  • Representing CA-CIB to all external agencies (supervisors, national authorities and law enforcement agencies), and in any other third party enquiries;
  • Monitoring and acting upon national and international reviews, publications, investigations on financial crimes and relevant predicate crimes;
  • Receiving and reviewing internal Suspicious Activity Reports (SARs);
  • Submitting external Suspicious Activity Reports (SARs) to the National Crime Agency (NCA) where applicable;
  • Managing all contact between CA-CIB / CASA London Branch and the authorities with respect to routine reports to the NCA, Customs and the Police in respect of any specific investigations;
  • Preparing reports for CA-CIB and CASA Management;
    Ensuring that CA-CIB is fully compliant with the provisions of all relevant UK legislation (including Money Laundering, Sanctions, Bribery & Corruption).

Key Responsibilities of the Role

  • The role requires involvement, as required, in assisting FS to fulfil all of its legal and regulatory obligations in the UK;
  • Acting as the primary point of contact for the UK business with regards to financial security matters, including how to interpret bank’s policies (provide subject matter expert advise and guidance to the First Line of Defence - 1LOD);
  • Reviewing high risk clients and transactions for, and on behalf of, CA-CIB and CASA London Branch;
  • Providing advisory opinions on potential and existing higher risk client relationships and transactions, with the support of more experienced/senior Central FS staff (depending on experience);
  • Applying knowledge of regulatory and internal obligations and restrictions when providing client/transaction opinions, including knowledge of sanctions, money laundering, terrorist financing;
  • Liaising with counterparts within the CA-CIB Group and CASA London Branch in relation to financial security matters;
  • Escalating identified high risk activity to more experienced/senior Central FS staff and the Head of Central FS;
  • Record keeping of work undertaken as per internal procedures;
    Assisting in providing Management Information to senior managers and appropriate committees.


Legal and Regulatory Responsibilities

Comply with all applicable legal, regulatory and internal compliance requirements as detailed in the full role specification.

Position location

Geographical area

Europe, United Kingdom

City

London

Candidate criteria

Minimal education level

Bachelor Degree / BSc Degree or equivalent

Academic qualification / Speciality

  • University Degree or equivalent;
  •  Anti-Money Laundering qualification desirable

Required skills

  • Presentational / training experience.
  •  Strong analytical skills with excellent attention to detail;

  • Strong decision making skills, including the ability to draw conclusions on complex matters and recognise the need for escalation, when appropriate;

  • Resilience and ability to work under pressure;

  • Flexibility and adaptability to change;

  • Ability to work effectively with key internal stakeholders to ensure all requirements are met;

  • Ability to work independently, with minimal supervision and act on own initiative to identify tasks to be undertaken;

  • Ability to share responsibilities, skills and experience with other team members; good team player.

  • Clear and concise verbal and written communication;

  • Ability to train others;

  • Good working knowledge of Excel, Word, PowerPoint.

     

Technical skills required

  • Knowledge of UK KYC and Politically Exposed Persons (PEP) requirements.  An understanding of the requirements of EU Money Laundering Directives, its influence on the UK Money Laundering Regulations and the practical application of the current Joint Money Laundering Steering Group (JMLSG) guidance and the UK Money Laundering Regulations, Sanctions and Anti-Money Laundering Act 2018, Sanctions and Financial Crime red flags. 
  • Experience working within a compliance or financial security (Financial Crime) function with exposure/experience in anti-money laundering, client due diligence (refers to junior candidate), including practical experience within an advisory role for an investment bank (refers to senior/experienced candidate);

  • Experience working with embargo / sanctions monitoring software (refers to senior/experienced candidate);

  • Basic to broad experience in opining on complex AML/KYC/Sanctions matters;

  • Good to very good knowledge of the JMLSG;

  • Good to very good knowledge of applicable FCA rules and guidance;

  • Understanding of when to escalate issues and to whom;

  • Understanding of Sanctions;

  • Understanding of requirements in relation to PEPs/PEP UBOs and RCAs.

  • Experience working with money laundering / transaction monitoring software;