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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 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 Testing Officer

Contract type

Permanent Contract

Job summary

Key Responsibilities:


·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.


·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

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

3-5 years



-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


-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

Required skills


·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.)


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

-French is a plus