Key Responsibilities:

General

·Plan and execute assigned compliance testing reviews of the various Banking business units / processes within the Organization, as part of the Annual Compliance Testing Plan.

·Document testing work papers with enough details in accordance with the standards set out in the Compliance Testing Policy and Procedures and that a third-party can reasonably understand the testing performed and the conclusion of the testing.

·Retain supporting evidence for assigned testing reviews in accordance with the standards set out in the Compliance Testing Policy and Procedures.

·Identify issues through testing and ensure thoroughly analysing the root causes and developing appropriate action plans to address the issues and root causes.

·Present review findings, confirm factual accuracy, and propose recommendations to relevant Department Management.

·Draft the testing review reports to document and formally communicate testing results to stakeholders including the Chief Compliance Officer, the Executive Committee and Senior Management.

·Track and monitor issues identified from the assigned compliance testing reviews to ensure the action plans are completed by action owns by the due date.

·Perform validation of action closure and prepare the action plan validation memo for Testing Unit Manager’s review and approval.

Other

·Provide regular status updates on assignments and timely escalate any potential delays / issues to the Testing Unit Manager.

·Contribute to the regular updates of the Compliance Testing Program and provide assistance to the Testing Unit Manager on other initiatives, when requested.

·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 management and team leads

·Outside the Compliance Division: Regular interaction with Business Lines and Support Functions (Legal, Finance, Risk, Audit etc.) and ad-hoc interactions with CUSO and Group stakeholders, when requested

Salary range: $100,000 - $125,000

College Degree

Essential 

-3 to 7 years experience relating to compliance, audit, control testing, and/or risk management required

-2 to 3 years Audit (compliance focused) or Compliance Testing experience required

Desirable

-Experience of working in an international financial institution is a plus

-Regulatory experience is a plus

-Experience of managing audit / testing review projects is a plus

Essential

·Strong attention to details and analytical skills

·Ability to work independently as well as work in a team environment

·Ability to prioritize and work in a dynamic and deadline-focused environment

·Ability to adapt to constant changes and demonstrate positive work attitude

·Ability to communicate well across all levels of an organization including present with senior management

·General knowledge of the capital markets, investment banking, and corporate financing activities and products

·General knowledge of one or more of the following categories of regulations or subject matters:

·Banking regulations (e.g., Reg W, Reg D, Reg GG, etc.)

·Broker-Dealer regulations (e.g., FINRA rules, SEC rules etc.)

·Business Conducts (e.g., Anti-Bribery & Corruption, Whistleblowing, Conflicts of Interest, Conduct Risks, Fraud risks etc.)

-Financial Crime (AML, Sanctions/OFAC, Know Your Customer)

-Other regulations (e.g., privacy, tax compliance, cybersecurity etc.)

Desirable

-Professional designations (such as CPA, CIA, CISA, CAMS, securities licenses etc.) is a plus

-French is a plus