VP CUSO Compliance Monitoring and Training Officer

3 weeks ago

New York, United States Crédit Agricole CIB Full time

Summary:

  • The Compliance Department at Credit Agricole’s Combined US Operations (CUSO) is seeking an experienced candidate to join the CUSO Monitoring, Testing Internal Controls and Training department.
  • The candidate should be able to effectively collaborate within a team setting and possess excellent interpersonal and organizational skills. This role will require coordination and proactive outreach to various groups and divisions within Credit Agricole US to collect and communicate information concerning business activities and the potential compliance risks to the bank. The individual will also periodically interact with management, as well as assist in the development of corresponding materials.
  • The role requires a strong knowledge of the US regulations applicable to CUSO and the relevant entities, as well as the foundations of a corporate compliance program (such as Compliance Risk Assessment, Ethics, Testing, Monitoring, Training, etc.),
  • The person will be in charge of overseeing and enhancing various Compliance programs. In particular, the Monitoring and Training programs, and will work closely with the person in charge for Testing and internal controls.
  • The individual should be familiar with institutional foreign banking organizations operating within the US. The individual must be capable of effectively communicating with executives and colleagues across various lines of business and throughout a global Compliance organization.


Key Responsibilities:

  • Oversee the implementation of compliance Monitoring, and Training programs in the entities and execute the annual CUSO monitoring program.
  • Assist and advise the various Compliance teams on the Monitoring, and Training programs
  • Prepare reporting related to the Monitoring, and Training programs
  • Perform quality assurance
  • Advise on risk remediation by creating corrective action plans
  • Provide the necessary support and training and work on improving the compliance review systems and processes.
  • Remediation Oversight
  • Participate in the assurance process for the remediation program
  • Provide guidance and support in the development of remediation documentation and supporting information.


Basic Qualifications:

  • Bachelor’s degree required. Masters preferred, but not required
  • Minimum 8 years of experience in the financial services industry
  • Knowledge of compliance rules and regulations (FED, OCC, NYDFS, SEC, FINRA)
  • Experience reading and interpreting laws, rules and regulations
  • Experience with testing, monitoring or audit
  • Experience with Remediation Program oversight
  • Detail oriented individual, solutions oriented and ability to work under tight timelines
  • Ability to act independently and make decisions in a collaborative fashion
  • Excellent oral and written communication skills
  • MS Office proficiency with advanced knowledge of PowerPoint and Excel


Qualifications/Education Required:

  • Bachelor’s degree required


Experience Required:

  • 8 years of experience in Compliance or Audit or Risk Management in the financial services industry, with a focus on Risk Assessments


Competencies Required:

  • Understanding of Corporate Compliance, Risk Assessment, Monitoring and Testing Process and Methodology.
  • General rules and regulations knowledge (FED, OCC, NYDFS, SEC, FINRA); MS Office
  • Skills & Knowledge Requirements:


Skills & Knowledge Requirements:

  • Strong analytical, problem-solving and organizational skills
  • Capable of handling multiple, simultaneous and various ad-hoc requests
  • Demonstrated history of taking initiatives,
  • Ability to prioritize and work in a dynamic, deadline focused environment
  • Strong intellect with consistent application of analytical skills and capacity to translate technical and complex issues for broader audiences in a straightforward manner, articulating the key issues facing the group; ability to get up to speed quickly with complex issues
  • Results oriented: setting goals and priorities that maximize the use of resources available to consistently deliver quality results
  • Communication Skills: Strong writing skills with the ability to interact with stakeholders at all levels within the organization and ability to relay complex technical concepts to a non-technical audience
  • Strong interpersonal effectiveness: self-aware of own behavior and work style as well as tolerant of different needs and viewpoints.
  • Proactive in managing workload and prioritizing tasks, confident in taking responsibility and resolving problems with strong influence and negotiating skills but recognizing the need to work with colleagues and to seek guidance if necessary; a hands-on approach that extends to taking practical initiatives as necessary to take issues forward
  • Technical rigor and attention to detail coupled with good presentation skills that demonstrate the practical implications of issues
  • Patience and tenacity to obtain results that can be clearly evidenced
  • Experience in developing and implementing gathering, reviewing, investigating and analyzing data and responding to regulatory inquiries
  • Working knowledge of Excel and PowerPoint
  • The capability to understand and to analyze complex situations, flexibility, effective challenge, rigor and positive mind set, allow you to confront new challenges with strategic stakes.

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