CUSO Compliance Risk Assessment Officer

1 month ago

New York, United States Crédit Agricole CIB Full time

Summary:


The Compliance Department at Credit Agricole’s Combined US Operations (CUSO) seeks an individual to join the department and report to the CUSO Head of Central Compliance. The individual will be responsible for coordinating the Compliance Risk Assessments (CRA) across all business lines on behalf of the regional Compliance operations.

The successful 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 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 an understanding of US bank regulations and corporate compliance program requirements, and ideally, experience in dealing with institutional investment banking and asset management organization.

Key Responsibilities

· Support the region-wide Corporate Compliance Risk Assessment program in accordance with CRA policy and procedure.

· Enhance CRA processes (pre-assessment, execution, post-assessment) for CUSO Compliance and the entities within the CUSO, and compile and produce associated management reporting.

· Monitor the on-going effectiveness of the CRA framework and methodology. Support CUSO efforts to further mature the framework over time

· Support other Compliance teams (such as Monitoring & Testing, Internal Controls, Training, among others) that leverage CRA results for their program activities

· Serve as a resource in providing guidance and support to first and second lines of defence on CRA methodology and processes

· Manage the timely preparation of CUSO CRA updates for various governance committees and forums

· Manage CRA program-related data (Results, Action Plans, Workbooks) and prepare reporting to be shared with Compliance management, Internal Audit, Business Partners and Regulators

· Maintain and enhance CRA policies and procedures aligned with regulatory guidance, industry standards

· Oversee the CRA Training materials and rollout to in-scope employees. Make enhancements to incorporate methodology changes, industry best practices, lessons learned


Basic Qualifications


· Bachelor’s degree required.

· Minimum 7 years’ experience in compliance or risk management in the financial services industry, with 2-3 years preferably in a Corporate Compliance Risk Assessment related role or with a regulatory agency having a focus on Risk Assessments

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

· Understanding of regulatory and compliance obligations for a Foreign Bank Organization (FBO) operating in the U.S.

· In-depth knowledge of corporate compliance programs and best practices (such as those set out by FED (SR 08-8), BCBS, DOJ)

· Strong project management and presentation skills

· 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 preferred

Essential Skills


Minimum 7 years overall experience in Compliance or Risk Management in the financial services industry, with 2-3 years preferably in a Compliance Risk Assessment related role or with a regulatory agency having a focus on Risk Assessments


  • Experience managing a regional or global Corporate Compliance Risk Assessment Program
  • Understanding of Corporate Compliance and Risk Assessment Process and Methodology. Stakeholder Management and Ability to Influence across the Three Lines of Defense
  • General rules and regulations knowledge (FED, OCC, NYDFS, SEC, FINRA,);
  • In-depth knowledge of corporate compliance programs and practices (such as those required by SR 08-8
  • Project management skills and experience supporting execution of region-wide Corporate Compliance program
  • Strong understanding of compliance policies and frameworks, risk assessment processes and systems
  • Results oriented: setting goals and priorities that maximize the use of resources available to consistently deliver quality results
  • Proactive in managing workload and prioritizing tasks, confident in taking responsibility and resolving problems with strong influencing 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
  • Strong leadership ability
  • Excellent written and oral communication skills with strong interpersonal skills.
  • Experience in effectively communicating with executives and in senior governance forums
  • Exposure to GRC tools.
  • Experience in effectively communicating with executives and in senior governance forums
  • Exposure to GRC tools.


Other relevant information:


His/her capability to understand and to analyze complex situations, his/her flexibility, his/her rigor and his/her positive mind set, allow you to confront new challenges with strategic stakes.

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