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 Provide regular status updates on assignments and escalate any potential delays / issues to the Head of Compliance Testing and Monitoring Contribute to the development of the Annual Testing Plan, Annual Monitoring Plan, and regular updates to the team's procedures Contribute to address requests / questions from Regulatory Exams and Internal Audit reviews covering Compliance Testing and Monitoring Other tasks that may be assigned by the Head of Compliance Testing and Monitoring 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 Salary Range: $120k-160k #LI-DNI Experience Essential: 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 Desirable: Experience working in capital market regulators preferred Education Essential: College Degree
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