Pause
Lecture
Moteur de recherche d'offres d'emploi Crédit Agricole CIB

Compliance Generalist


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 2021). Nearly 8,600 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

2022-70186  

Update date

28/06/2022

Job description

Business type

Types of Jobs - Compliance / Financial Security

Job title

Compliance Generalist

Contract type

Permanent Contract

Job summary

Summary

The Compliance Generalist is responsible for assisting the Registration Manager in maintaining firm and employee registrations and other tasks handled by the Registrations team. This person will also be responsible for maintaining and monitoring adherence to the firm’s compliance program and priorities.

 

 

 

Key Responsibilities

Assist the Registration Manager in handling firm and employee registrations, including regulatory filings to FINRA, NFA, GFIN and other regulators

Complete Compliance new hire and termination tasks for both CAS and CA-CIB

Process pre-hire regulatory checks

Handle fingerprinting and study materials for CAS

Assist in handling FINRA Regulatory Element Continuing Education (CE)

Handle queries, policy/system updates, monitoring of Outside Business Activities, Gifts, and Political Contributions

Identify and recommend necessary changes to policies and procedures

Respond to regulatory and internal inquiries

Assist in preparing for and coordinating internal audit and regulatory exams 

Maintain EFiles and the CAS Org Chart

 

 

 

Management and Reporting

 

The Compliance Generalist reports directly to the Registrations Manager who in turn reports to the Chief Operations Officer and Head of the Transversal team of the Compliance Department. The individual ultimately reports to the Regional Compliance Officer for the Americas. 

 

 

 

Key Internal contacts

 

o    Human Resources Department

o    Operations Department (GSP)

o    Legal Department;

o    Audit Department;

o    Information Technology Department

o    Risk Department

 

 

 

Key External contacts

 

The Firm’s regulators, including but not limited to SEC, FINRA, NFA, CFTC, MSRB, other SROs and the different states 

 

 

 

Position location

Geographical area

America, United States Of America

City

NEW YORK

Candidate criteria

Minimal education level

Bachelor Degree / BSc Degree or equivalent

Academic qualification / Speciality

Bachelor's degree

Experience

Desirable

-1-2 years prior US compliance experience, including interaction with US regulators.

Required skills

-FINRA Series 7 (or ability to obtain within the first year of employment). Series 24 is optional.

-Working knowledge of securities products 

-Proficient in Microsoft Office

-Attention to detail

-Sound judgment

-Ability to work in a team

-Strong written and oral communication skills

-Ability to interact with senior management

-Ability to handle sensitive information with discretion