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Moteur de recherche d'offres d'emploi Crédit Agricole CIB

Fixed Income Compliance Officer


Vacancy details

General information

Entity

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.


For more information, please visit www.ca-cib.com

Twitter: https://twitter.com/ca_cib
LinkedIn: https://www.linkedin.com/company/credit-agricole-cib/
  

Reference

2021-62305  

Update date

23/11/2021

Job description

Business type

Types of Jobs - Compliance / Financial Security

Job title

Fixed Income Compliance Officer

Contract type

Permanent Contract

Job summary

Summary

The Fixed Income Compliance Officer is responsible for day to day advisory and surveillance of the GMD Credit Sales and Trading function.  

 

 

 

Key Responsibilities

Assist in developing and implementing policies and procedures related to FINRA/SEC Rules and Regulations.

Perform routine surveillance to ensure compliance with applicable regulations.

Assist in providing guidance and advice to the GMD staff on compliance issues.

Provide ad hoc training to GMD staff when necessary.

Report to Senior Compliance staff and/or the relevant senior GMD staff on the main identified weaknesses and/or compliance risks within GMD and set out recommendations for changes.

Assist with special projects and Internal Controls testing reports of various business lines.

Research and respond to regulatory inquiries.

 

 

Management and Reporting

 

The Fixed Income Compliance officer reports directly to the Head of Capital Markets Compliance in the Americas and the Regional Compliance Officer for the Americas. 

 

 

Key Internal contacts

 

o    All GMD business units;

o    Legal department;

o    Audit department;

o    Risk departments; and

o    Operations departments.

 

 

 

Key External contacts

 

The Firm’s regulators, including but not limited to FINRA, SEC, NFA, and CFTC. 

Position location

Geographical area

America, United States Of America

City

NEW YORK

Candidate criteria

Minimal education level

Bachelor Degree / BSc Degree or equivalent

Level of minimal experience

3-5 years

Experience

Essential

  • At least 3 years of working experience preferably in the banking/brokerage industry.

Desirable

  • 2 years prior compliance experience, including interaction with US regulators.

Required skills

  • Sound judgment, ability to work in a team.
  • Series 7 and 24 (or ability to obtain within the first year of employment).
  • Developing knowledge of all Fixed Income Products
  • Strong understanding of TRACE transaction reporting and the ability to product MIS reports for management.