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Global Markets Regulatory Compliance Monitoring and Surveillance 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 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.


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

2022-70352  

Update date

01/11/2022

Job description

Business type

Types of Jobs - Compliance / Financial Security

Job title

Global Markets Regulatory Compliance Monitoring and Surveillance Compliance Officer

Contract type

Permanent Contract

Job summary

Summary

The Global Markets Regulatory Compliance (“GMRC”) Monitoring and Surveillance Compliance Officer is responsible for the execution of the control and surveillance plan in the Americas region, with the goal of ensuring compliance with applicable Swap Dealer and Broker Dealer regulations and internal policies and procedures.  

 

 

 

Key Responsibilities

·         Conducting monitoring and surveillance reviews of sales and trading activity, and communications, for possible regulatory or internal policy violations. 

·         Maintenance and development of procedures for surveillance and monitoring reviews.

·         Identify and recommend opportunities for process improvement to the overall control framework.

·         Report findings and make recommendations to management for appropriate remediation.

·         Assist in responding to regulatory inquiries, audits, examinations and investigations.

 

Management and Reporting

 

The GMRC Monitoring and Surveillance Compliance Officer reports directly to the Head of Global Markets Regulatory Compliance Monitoring and Surveillance and ultimately to the Head of Global Markets Regulatory Compliance in 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. 

 

 

Salary range: $120,000 - $160,000

Position location

Geographical area

America, United States Of America

City

NEW YORK

Candidate criteria

Minimal education level

Bachelor Degree / BSc Degree or equivalent

Academic qualification / Speciality

Essential

Bachelor's degree

 

Desirable

Graduate degree

 

Level of minimal experience

6-10 years

Experience

5+ years prior compliance advisory experience, including interaction with US regulators.

Required skills

Essential

·Strong understanding of the Dodd Frank Act and associated CFTC and NFA rules and regulations.

·Strong understanding of Broker-Dealer (FINRA and SEC) rules and regulations.

·Ability to identify gaps and provide practical solutions

·Strong writing and presentation skills

·Strong data analysis, technology, time management skills.

·Working knowledge of all Capital Markets products, including Foreign Exchange, Interest Rate Derivatives, and Fixed Income Securities.

 

Desirable

·Series 7 Series 3 and Series 24 (or ability to obtain within the first year of employment).

·NFA SPR (or ability to complete upon employment)