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
2022-70352
Update date
01/07/2022
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.
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)
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