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Compliance Testing Supervisor

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 Supervisor

Contract type

Permanent Contract

Job summary


Key Responsibilities:


  • Design and implement the Compliance Testing Unit Policies and procedures in compliance with regulatory expectations
  • Provide annual staff assessment for the Testing Unit’s operations and execute hiring plan
  • Design the Annual testing plan in accordance with the testing Unit Policy. In particular:
    • Annual testing plan design should take into account evaluation of changes to US banking laws and regulations, assessing their impact on the Bank's control infrastructure.
    • Changes in the bank’s business activities and strategies
    • Assess the testing scope with the Compliance team heads and CACIB US CCO
  • Oversees the execution of the annual testing plan
  • Present the annual testing plan at the Compliance Management Committee
  • Provide training, guidance and assistance to the Testing Unit Officers
  • Review and validate compliance reviews executed by the Testing Unit Officers within the approved annual testing plan
  • Ensure quality control of the Testing Officers reviews
  • Present Testing Reviews Findings to Head of Divisions
  • Perform updates of the Bank's regulatory risk mapping of Policies and Procedures to Laws, Rules, Regulations and Guidance subsequent to the completion of scheduled compliance reviews.
  • Maintaining an ongoing dialogue with the appropriate level of management within the assigned audit perimeter as to the conduct of testing activities, control issues affecting their areas of responsibility, the status of outstanding control issues and changes in the activity, which may have an impact on the audit coverage or assessed risks.
  • 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.


·Maintain the escalation process for overdue Testing findings

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

·Provide Monthly reporting to the CACIB US CCO and quarterly reporting to the Compliance Management Committee on the annual testing plan execution

Management and Reporting:

The position reports directly to CACIB US Compliance COO
The Testing Officer will manage a team of Compliance Testing Officers

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

11 years and more


10-15 years

Required skills


  • 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
  • Autonomy


  • 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