Summary

Under the supervision of the Testing Unit Manager, as part of the Credit Agricole CIB Americas compliance function, responsible for developing and executing the risk-based Compliance Monitoring Program at CACIB US.

Key Responsibilities

Development and Maintenance of the Compliance Monitoring Program

·Contribute to the development and maintenance of the Compliance Monitoring Program, including policies, procedures, and templates.

·Assist to implement the Compliance Monitoring Program in accordance with the roadmap.

·Participate in the coordination with key stakeholders (Business Lines, Support Functions, CUSO etc.).

Execution of Compliance Monitoring Activities

·Contribute to the development and status tracking of the Annual Compliance Monitoring Plan.

·For assigned compliance monitoring review,

·Plan and execute the review or support other team members in the planning and execution of assigned reviews, depending on the roles in the review.

·Document work papers with enough details in accordance with the standards set out in relevant policies/procedures and that a third-party can reasonably understand the review works performed and the conclusions of the reviews.

·Retain supporting evidence in accordance with the standards set out in relevant policies/procedures.

·Present findings, confirm factual accuracy, and propose recommendations to relevant Department Management.

·Draft the monitoring review reports to document and formally communicate the results to stakeholders including the Chief Compliance Officer, the Executive Committee and Senior Management.

·Identify issues through ongoing monitoring activities and ensure thoroughly analysing the root causes and developing appropriate action plans to address the issues and root causes.

·Track and monitor issues identified from the assigned reviews and ongoing monitoring activities to ensure the action plans are completed by action owns by the due date.

·Perform validation of action closure and prepare the action plan validation memo for Testing Unit Manager’s review and approval.

Other

·Provide regular status updates on assignments and timely escalate any potential delays / issues to the Testing Unit Manager.

·Provide assistance to the Testing Unit Manager on other initiatives, when requested.

·Participate to Regulatory Exam and Internal Audit Exam data requirements related to Compliance Monitoring.

Management and Reporting

The position reports directly to the CACIB US Compliance Testing Supervisor.

Key Internal Contacts:

Within the Compliance Division: CACIB US Compliance management and team leads.

Outside the Compliance Division: Regular interaction with Business Lines and Support Functions (Legal, Finance, Risk, Audit etc.) and ad-hoc interactions with CUSO and Group stakeholders, when requested.

Salary range: $100,000 - $130,000

College Degree

Essential

·3 to 7 years experience relating to compliance, audit, control testing, and/or risk management required

• 2 to 3 years Audit (compliance focused) or Compliance Testing experience required

Desirable

·Experience of working in an international financial institution is a plus

·Regulatory experience is a plus

• Experience of managing audit / testing reviews is a plus

• Professional designations (such as CPA, CIA, CISA, CAMS, securities licenses etc.) is a plus

Essential

·Strong attention to details and analytical skills

·Ability to work independently as well as work in a team environment

·Ability to prioritize and work in a dynamic and deadline-focused environment

·Ability to adapt to constant changes and demonstrate positive work attitude

·Ability to communicate well across all levels of an organization including present with senior management

·General knowledge of the capital markets, investment banking, and corporate financing activities and products

·General knowledge of one or more of the following categories of regulations or subject matters:

·Banking regulations (e.g., Reg W, Reg D, Reg GG, etc.)

·Broker-Dealer regulations (e.g., FINRA rules, SEC rules etc.)

·Business Conducts (e.g., Anti-Bribery & Corruption, Whistleblowing, Conflicts of Interest, Conduct Risks, Fraud risks etc.)

·Financial Crime (AML, Sanctions/OFAC, Know Your Customer)

·Other regulations (e.g., privacy, tax compliance, cybersecurity etc.)

Desirable

• French is a plus