Compliance Officer
15 hours ago
Crédit Agricole S.A. is seeking a highly skilled Compliance Officer (Director) - Fixed Income to join our team. As a key member of our Global Markets Division, you will be responsible for ensuring compliance with regulatory requirements and industry standards.
Key Responsibilities:- Develop and implement policies and procedures related to NFA/CFTC/FINRA/SEC Rules and Regulations.
- Conduct monthly/quarterly/annual controls for swap dealer activity, including Pre-Trade Mid-Market Mark, Daily Marks, Trade Reconstruction, etc.
- Review daily broker dealer surveillance, including Off-Market, Markup/Markdown, etc.
- Perform routine electronic/voice communication surveillance to ensure compliance with applicable regulations.
- Provide guidance and advice to GMD staff on compliance issues and provide ad hoc training when necessary.
- Report to Senior Compliance staff and/or relevant senior GMD staff on main identified weaknesses and/or compliance risks within GMD and set out recommendations for changes.
- Assist with special projects reports of various business lines and research and respond to regulatory inquiries.
- At least 8+ years of working experience preferably in the banking/brokerage industry.
- Series 7, 24 and NFA SPR (or ability to obtain within the first year of employment).
- Advanced knowledge of the U.S. Swap Dealer regulatory framework, specifically CFTC and NFA rules and regulations.
- Knowledge of Fixed Income products, offerings and trading as well as publication of transactions and quotes.
- Ability to handle highly confidential and complex matters with sound judgment and in an ethical and professional manner.
- Strong analytical knowledge of capital markets issues and experience with interaction with sales/trading personnel and senior management.
- Work well in a team environment displaying leadership qualities; strong written and oral communication skills.
- Expert with Microsoft Excel, Word and PowerPoint.
Crédit Agricole S.A. offers a competitive salary range of $180k - $220k and a dynamic work environment with opportunities for professional growth and development.
#LI-DNI
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