Key Responsibilities:

General

• 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.
   

Other

·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:

N/A

College Degree

10-15 years

Essential

• 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

Desirable

• 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