CUSO Compliance Policy and Procedures Officer

4 weeks ago

New York, United States Crédit Agricole CIB Full time

Summary:


The Compliance Department at Credit Agricole’s Combined US Operations (CUSO) is looking for an experienced executive to join us as the Policies and Procedures Officer.

The candidate will be responsible to produce effective, high-quality written Bank policies, procedures, and guidelines. The candidate will work with Subject Matter Experts (SMEs) and other internal stakeholders to revise existing documents and develop and maintain the Bank’s library. The candidate will be part of the Central Compliance team, providing analysis and advice regarding the impacts of new or amended laws, rules and regulations and their translation into the necessary Policies and Procedures. The candidate, preferably an attorney with experience with the laws, rules and regulations applicable to Financial Institution in the US, will work closely with all the teams in the Compliance Department, and other teams within the Bank.


Key Responsibilities

· Create operational procedures, internal manuals, forms, reference guides, workflows or other materials related to policies and procedures.

· Analyze business processes and meet with SMEs to determine documentation requirements and ensure specialized topics are appropriately documented.

· Gather information through research, SME interviews, source documents, and review of existing documentation.

· Update and edit existing policies and procedures for accuracy and clarity and consult with Management and SMEs regarding any noted ambiguity, omissions, or recommendations on process improvements.

· Design and create various department document templates

· Organize, publish, and maintain a document library as well as up-to-date records and files of work, schedule of writing assignments, and other assigned projects.

· Implement and maintain practices to promote consistency, accuracy, and completeness across all documents, including the Policy on Policies.

· Perform regular assessments on the effectiveness of the documents produced. Review changes to business operations for potential Compliance impact to other documentation or resources.

· Review regulatory changes and partner with regulatory change agents to proactively identify required updates. Collaborate and consult with project teams to make recommendations on the types of documents and information necessary.


Basic Qualifications

· JD or Masters Degree preferred

· Minimum 10 years of experience in compliance or risk management in the financial services industry, preferably in a Policy and Procedure related role

· Knowledge of compliance rules and regulations (FED, OCC, NYDFS, SEC, FINRA)

· Experience reading and interpreting laws, rules and regulations

· Strong project management skills

· Strong leadership skills

· Detail oriented individual, solutions oriented and ability to work under tight timelines

· Ability to act independently and make decisions in a collaborative fashion

· Superb oral and written communication skills

· MS Office proficiency with advanced knowledge of PowerPoint and excel preferred.


Knowledge and Experience:


10 - 12 years of experience in a regulatory agency, a comparable banking organization or law firm working on Capital Markets regulatory topics.


Prior experience leading Policy and Procedures work stream


General rules and regulations knowledge (FED, OCC, NYDFS, SEC, FINRA); MS Office


  • Extensive experience in senior risk or compliance leadership roles, including regulatory compliance.
  • In-depth knowledge of regulatory compliance issues and themes.
  • Minimum 10 years of experience in the financial services industry, preferably within Capital Markets, Investment Banking or asset management businesses
  • High understanding of US regulatory landscape for Capital Markets, Investment Banking and Asset Management lines of business
  • Ability to comprehend abstract and complex concepts and translate them to concrete, simple, user-friendly documents
  • Experience interacting with US financial services regulators through regular exams and supervisory activities
  • Excellent written and oral communication skills with strong interpersonal skills.
  • Experience in effectively communicating with executives and in senior governance forums
  • Strong interviewing, listening, interpersonal, and verbal communication skills to develop and maintain working relationships with all levels of associates.
  • Excellent organizational and time management skills with ability to work on multiple projects, prioritize assignments, and meet deadlines.
  • Ability to effectively collaborate in a team environment as well as work independently without considerable supervision
  • Must be completely fluent in English (written and spoken). French a plus but not required.

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