Compliance Testing and Monitoring Officer

Vacancy details

General information

Entity

About Crdit Agricole Corporate and Investment Bank (Crdit Agricole CIB)

Crdit Agricole CIB is the corporate and investment banking arm of Crdit 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.

Crdit 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 /

By working every day in the interest of society, we are a group committed to diversity and inclusion. All our positions are open to people with disabilities.

Reference

2025-96643

Update date

07 / 02 / 2025

Job description

Business type

Types of Jobs - Compliance / Financial Security

Job title

Compliance Testing and Monitoring Officer

Contract type

Permanent Contract

Job summary

Summary :

Under supervision of the Head of Compliance Testing and Monitoring, as part of the Credit Agricole CIB Americas compliance function, responsible for executing testing reviews and monitoring activities and contributing to the continuous enhancements to the bank's Compliance Testing and Monitoring program.

Key Responsibilities :

General

• Plan and execute assigned compliance testing reviews of the various Banking business units / processes within the Organization, as part of the Annual Compliance Testing Plan.
• Document testing work papers with sufficient details in accordance with the standards set out in the internal policy / procedures and that a third-party can reasonably understand the testing performed and the conclusion of the testing
• Identify issues through testing and ensure thoroughly analysing the root causes and developing appropriate action plans to address the issues and root causes
• Present review findings, confirm factual accuracy, and propose recommendations to relevant Department Management
• Draft the testing review reports to document and formally communicate testing results to stakeholders which may include the Chief Compliance Officer, the Executive Committee and Senior Management
• Track and monitor issues identified from the assigned compliance testing reviews 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
• Carry out and document compliance monitoring activities, as planned / scheduled in the Annual Compliance Monitoring Plan.

Other

Management and Reporting :

The position reports directly to CACIB US Head of Compliance Testing and Monitoring.

Key Internal Contacts :

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

Outside the Compliance Division, regular interactions with Business Lines and Support Functions (Legal, Finance, Audit..) and ad-hoc interactions with CUSO and Group stakeholders

Key External Contacts :

N / A

Supplementary Information

Salary Range : $120k - $160k

LI-DNI

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

At least 7 year experience in the financial services industry with a focus on compliance

5 year Audit or Compliance Testing experience required, with a focus on capital market

Experience working in capital market regulators preferred

Professional designations in the auditing field (e.g., CPA, CIA, CISA) preferred

Experience

Ability to manage multiple projects using technology and analytic techniques (advanced in excel) to work effectively and efficiently in a fast-paced environment.

Strong attention to details and analytical skills

Ability to work with minimum supervisions and prioritize multiple tasks to focus on meeting the expected timelines

Good communication skills to be able to present clearly and concisely to all levels of stakeholders and ability to build rapport and partnership with stakeholders

Good knowledge of risks and controls, including analyzing risks, identifying and documenting controls, and assessing control design and operating effectiveness

Strong knowledge of areas such as capital markets, debt capital markets, investment banking, and corporate banking coverage as well as broker-dealer / swap dealer regulatory framework such as SEC, FINRA, NFA, CFTC rules

Required skills

General knowledge of one or more of other banking products / services and regulations preferred :

Other regulations (privacy, tax compliance, cybersecurity etc.)

Salary : $120,000 - $160,000