Monitoring Compliance Officer

4 months ago

Ahmedabad, India Crédit Agricole CIB Full time

Job description

Business type

Types of Jobs - Operations

Complementary business types

Types of Jobs - Compliance / Financial Security

Job title

Monitoring Compliance Officer

Contract type

Permanent Contract

Expected start date

03/09/2024

Management position

No

Job summary

Summary of the position:

You will be joining the Markets Regulatory Compliance Monitoring department, which is a critical function within CACIB, responsible for the identification, assessment, monitoring and reporting of the Bank’s compliance risks.

CPL:

Global Compliance (CPL)’s mission is to contribute to ensuring compliance of the activities and operations of the Bank and its employees with legislative and regulatory provisions as well as internal and external rules applicable to CACIB’s activities in matters of banking and financial activities, or which could lead to criminal sanctions, sanctions from regulators, disputes with clients and more broadly reputational risk.

Main duties:

Within the Compliance Monitoring team, you are mainly responsible for :

Assessing non-compliance risks by ensuring, through a risk-based approach, the proper application of financial market regulations, laws and codes; Performing compliance monitoring controls and/or spot checks Carry out compliance checks on MiFID, EMIR, ESMA, SFTR, PRIIPS, DFA regulations;  Participate in the completion of the Compliance monitoring control plan: each Compliance Controller shall execute his/her controls and fill the related results into the dedicated spreadsheet; Participate in the control framework of employees who fall in scope of the DFA registration and register them within the CACIB AP list, maintain this list on a day-to-day basis and monitors it through monthly controls. Perform periodic consolidated reports, Key Production Indicators, and Management Indicators from the global Local Compliance Network, with a focus on Market activities monitoring. Participate in the consolidation of stakeholders’ contributions and communication of the finalized support to GMRC management.

Supplementary Information

Secondary duties:

Participate in the definition of dashboards and service management reports; Participate in ad-hoc requests, special projects, investigations or regulatory reviews; Participate in the drafting and maintenance of procedures and modernization of processes. Be involved, at your own level, in the dissemination of the Compliance culture, including in your interactions with the Business line and Compliance advisory.

Position location

Geographical area

Asia, India

City

NEW DELHI / MUMBAI / BANGALORE / CHENNAI / AHMEDABAD / PUNE

Candidate criteria

Minimal education level

Bachelor Degree / BSc Degree or equivalent

Academic qualification / Speciality

Candidate's Educational Qualification and Professional Experience:

Minimum Bachelor’s degree (or equivalent) engineering school, business school, university courses, Law, or a senior position in market middle or Back office

A minimum of 3 years / 5 years of professional experience.

Level of minimal experience

3-5 years

Experience

- Corporate and Investment Banking business experience;

- A certain level of sensitivity to test automation and data engineering solutions

- Knowledge / past experience in controls;

Required skills

Candidate's Skills and Competencies:

Type of professional experience: experience in the Financial Markets environment is expected for this position in, Middle, Back-office or a specialist of controls such as a Permanent Controller or an Auditor

 Business skills :

- Knowledge of market activities, products and processes ;
- Knowledge of some regulations such as MiFID, DFA, financial code (Global FX code, FMSB);

Soft-Skills :

- Excellent analytical and research skills;
- Clarity and precision of written and oral communications;
- Ability to work in a team and with the business ;
- Ability to listen and synthesize

 IT Tools:

- Mastery of main IT tools (Pack-Office)

Languages:

- Fluent English required

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