Compliance Officer

2 weeks ago

London, Greater London, United Kingdom Crédit Agricole CIB Full time
Job Description

**About the Role**

We are seeking a highly skilled Compliance Officer to join our Central Compliance team at Crédit Agricole CIB. As a key member of our team, you will play a critical role in ensuring the bank's compliance with regulatory requirements and maintaining a strong control environment.

Key Responsibilities

  • Administration of the Senior Managers Regime Certification Regime (SMCR)
    • Ensure that all necessary forms and training have been completed prior to approving staff for Certification.
    • Provide guidance and assistance on the Certification process to both business lines and HR.
    • Maintain a database on all SMR and Certified staff, reconciling on a regular basis in accordance with Compliance Operating Policy and Procedures.
    • Ensure that the Bank remains compliant with the SMCR following organisational changes.
  • Maintain and report on Personal Account Dealing activities
    • Respond to requests for permission to trade in accordance with Compliance Operating Policy and Procedures.
    • Reconcile broker notes to approved dealing requests.
    • Collate statistics for reporting to senior management.
  • Compliance Reporting / Control work
    • Perform routine review / control work as defined in the annual control plan.
    • Escalate any system and control issues immediately where necessary and track all identified issues formally and within management reporting to conclusion.
  • Trade reporting on UK stocks
    • Daily Position Aggregation to identify reportable transactions to POTAM on behalf of the group.
    • Maintain and distribute Daily Takeover Panel stock list.
  • Compliance reviews
    • Carry out compliance monitoring as directed by Compliance Management.
  • Data Loss Prevention
    • Investigate, remediate, and record alerts raised to Compliance in the Data Loss Prevention tool.
  • Data Subject Access Requests (DSARs)
    • Collaborate with Monitoring and Surveillance, HR, and Legal teams to coordinate searches and responses to the Data Subject.
    • Handle the sharing of data with external legal counsel where necessary.
    • Ensure that the requested data is sent to the Data Subject in compliance with the regulatory time limits.
    • Maintain a record of all DSARs received.
  • General Compliance matters
    • Ensure relevant Policies and Procedures are reviewed and up to date.
    • Oversee the PPM process (which includes ensuring policies and procedures are updated, reviewed and approved by relevant staff and then published on PPM and read by the appropriate audience).
    • Provide general cover and perform ad hoc and back up tasks as directed by Compliance Management.
    • Maintain a working knowledge of FCA/PRA rules and regulations and a broad awareness of European rules and regulations that may impact Crédit Agricole CIB in the UK through focused reading of industry insights.

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