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Compliance Officer

Vacancy details

General information


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.

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Job description

Business type

Types of Jobs - Compliance / Financial Security

Job title

Compliance Officer

Contract type

Permanent Contract

Expected start date


Management position


Job summary

· Work with the Head of Compliance, India (HC) in advising top management & other stakeholders on Group compliance norms & local regulatory matters concerning Business Compliance (viz. Global Markets, Corporate Banking & Trade Finance) activities / transactions, and aspects of employees’ personal ethics (e.g. Personal Account Dealing, Gifts, usage of emails, chats recording of calls etc.). Undertake monitoring / surveillance as appropriate and create staff awareness on these topics thereby contributing towards effective management of non-compliance risks / protecting the Bank from potential regulatory violations.

· For the business areas of the bank:
o Perform compliance analysis for & advise on Customer suitability, New Activities & Products (NAP) / Cross-border transactions / Complex & Sensitive transactions.
o Provide compliance advise for references made by the front / back office and other support functions (on transactions / activities / rules & regulations).
o Ensure dissemination of compliance related information and publication to the relevant staff / departments.
o Review business policies & operational procedures to ensure they embed group and local regulatory requirements as relating to Business Compliance matters. Monitor that such policies are reviewed on a periodic basis.
o Provide training covering group and local regulatory aspects as relating to Business Compliance matters.

·Regulatory watch: Keep track of & disseminate timely advise on new/ changing regulations concerning Business Compliance aspects, as issued by the RBI or FEDAI or FIMMDA or IBA or SEBI etc. & applicable from a group perspective as well. In this regard, maintain an effective tracker on actionable/s arising from these regulations and carry out effective follow up / escalation to assure timely implementation.

· Fulfill the compliance monitoring & reporting requirements for Business Compliance aspects under various group policies & local regulatory guidelines. Ensure Control Program/ Surveillance (including alert reviews) for these aspects are timely and effectively executed.

· Ensure timely submission of reports to HO & local Regulators. Contribute effectively towards adequate preparation and presentation of periodic compliance reporting e.g. RBS Tranches, NAP, Compliance Management Committee, Regional / HO reporting and local regulators.

·Regulatory liaison: For Risk Based Supervision (RBS), work with the HC to ensure continuous & effective communication with the Supervisory Relationship Manager (SSM), internal co-ordination / review of ongoing requests from the regulator for offsite monitoring, thematic reviews etc.

·Work with the HC to assist with liaison & co-ordination with regulators on Business Compliance matters (viz. clarifications / approvals & other issues). Ensure effective support for conduct of onsite regulatory inspections & periodic liaison in respect of the same. Engage / maintain operating relationships.

Position location

Geographical area

Asia, India



Candidate criteria

Minimal education level

Postgraduate degree – MA/MSc/PhD/Doctorate or equivalent

Academic qualification / Speciality

Chartered Accountant or Company Secretary or MBA in Finance


Level of minimal experience

6-10 years


Experience in Business compliance in Banking sector

Required skills

The role offers a comprehensive exposure within the Business Compliance area spanning across Global Markets, Corporate Banking and Trade Finance which amongst others involves the use of analytical, investigative and communication skills. It envisages working independently with a progressive engagement with internal & external stakeholders. Consequently, the role provides a good platform for delivering value and enhancing competencies.


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