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Compliance Testing 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 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.

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Job description

Business type

Types of Jobs - Compliance / Financial Security

Job title

Compliance Testing Officer

Contract type

Permanent Contract

Job summary



Under supervision of Testing Unit Manager, as part of the Credit Agricole CIB Americas compliance function, responsible for testing, validating, and recommending changes to the control environment.


Key Responsibilities:




·  Performs detailed compliance reviews of the various Banking business units within the Organization, in conjunction with the Compliance Testing Unit Plan.

·  Examine the Bank's policies and procedures, putting particular special emphasis on conformity to applicable US Banking laws and regulations and document these changes in the testing workpapers.

·  Prepare detailed workpapers for each compliance review, consisting of planning memos, test programs, sample rationale documents, tailored regulatory risk mapping, detailed test work workpapers consisting of spreadsheets & narratives and final compliance reports, in compliance with Testing Unit’s Policies and Procedures.

·  Ensure proper audit trail is maintained

·  Prepare comprehensive compliance reports for the Chief Compliance Officer, the Executive Committee and Senior Management.

·  Monitor outstanding compliance issues identified during each compliance review to ensure findings are tracked and corrective action plans are implemented timely.

Prepare the presentation of Testing Reviews Findings to Head of Divisions
Monitor outstanding compliance issues identified during each compliance review to ensure findings are tracked and corrective action plans are implemented timely.



·         Prepare the escalation process for overdue Testing findings

·         Participate to Regulatory Exam and Internal Audit Exam data requirements related to Compliance Testing


Management and Reporting:


The position reports directly to CACIB US Compliance Testing Supervisor



Key Internal Contacts:


Within the Compliance Division: CACIB US Compliance team heads

Outside the Compliance Division, regular interaction with Business Lines and support functions (Legal, Finance, Audit..)


Key External Contacts:



Position location

Geographical area

America, United States Of America



Candidate criteria

Minimal education level

Bachelor Degree / BSc Degree or equivalent

Academic qualification / Speciality

College degree

Level of minimal experience

6-10 years



-Experience in compliance testing function or audit function

-Knowledge of Laws, Rules, Regulations and Standards applicable to the banking industry

-Writing skills; Oral Communication

-Ability to communicate clearly and easily, including in writing

-Ability to analyse and summarise

-Rigour and sense of organisation

-Apprehension of results and priorities




-Knowledge and understanding of the risks generated by banking / securities activities

-Management skills

-Relationship management/Commercial sense

-Capacity to cooperate/Ability to work across disciplines