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Compliance Officer


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

2021-62022  

Update date

15/11/2021

Job description

Business type

Types of Jobs - Compliance / Financial Security

Job title

Compliance Officer

Contract type

Permanent Contract

Management position

No

Job summary

Summary

The Central Compliance team is responsible for transversal compliance and regulatory matters. The remit of the team is wide, evolving and includes (but is not limited to): regulatory projects, regulatory training and awareness, internal and external reporting, certification process, policies and procedures, control work, and data protection.

The associate in the Central Compliance team will undertake multiple compliance matters and will be cross- trained to assist all members of the Central team. The individual should have strong administrative, organisational and communication skills and demonstrate a ‘can do’ attitude and good team spirit. On the job training will be provided but it is important that the individual is flexible, proactive and able to learn swiftly.

Key Responsibilities

1.   Administration of the Senior Managers Regime Certification Regime (SMCR)

  • Timely despatch of SMR forms after checking that it has been fully completed and obtaining the necessary documentation and signatures.  Acting as contact for FCA queries.
  • Ensuring that the necessary forms and training have been completed prior to approving staff for Certification.
  • Providing guidance and assistance on the SMR and Certification process to both business lines and HR.
  • Maintain database on all SMR and Certified staff, reconciling on a regular basis in accordance with Compliance Operating Policy and Procedures.
  • Ensure that the Management Responsibilities Map is up-to-date
  • Ensure that the Bank remains compliant with the SMCR following organisational changes.

2.   Maintain and report on Personal Account Dealing activities

  • Respond to requests for permission to trade in accordance with Compliance Operating Policy and Procedures.
  • Reconciling broker notes to approved dealing requests
  • Collating statistics for reporting to senior management

3.   Compliance Reporting / Control work

  • Perform routine review / control work as defined in the annual control plan
  • Escalate any system and control issues immediately where necessary and track all identified issues formally and within management reporting to conclusion.

4.   Trade reporting on UK stocks

  • Daily Position Aggregation to identify reportable transactions to POTAM on behalf of the group
  • Maintain and distribute Daily Takeover Panel stock list

5.   Compliance reviews

6.   Data Loss Prevention

7.   Data Subject Access Requests (DSARs) 

8.   Transaction Reporting

9.    PRA Continuous Assessment Meetings

10.  General Compliance matters

• Ensure relevant Policies and Procedures are reviewed and up to date.

Legal and Regulatory Responsibilities

  • Comply with all applicable legal, regulatory and internal Compliance requirements, including, but not limited to, the London Compliance manual and the Financial Crime Policy and the FCA Code of Conduct.
  • Maintain appropriate knowledge to ensure to be fully qualified to undertake the role. Complete all mandatory training as required to attain and maintain competence.

Position location

Geographical area

Europe, United Kingdom

City

London

Candidate criteria

Minimal education level

High school / Secondary school / A levels / AS levels / IB

Academic qualification / Speciality

Compliance related qualification where appropriate

Required skills

  • Strong administrative skills.
  • Good interpersonal skills with strong diplomacy and tact.
  • Confident and adaptable, and possess an eye for detail.
  • Proactive, with a ‘can do’ attitude.
  • Ability to work well independently or as part of a team
  • Energy and tenacity to work well under pressure to deadlines.
  • Proactive and able to initiate and run tasks, controls, reporting and mini-projects
  • IT literacy (MS Office, databases etc).
  • Project management.
  • Analytical skills

Technical skills required

  • Understanding of FCA/PRA Rules.
  • General Compliance training
  • Regulatory awareness including working knowledge of FCA MIFIDII Transaction Reporting rules.
  • Compliance, Banking and product knowledge