Compliance Specialist

6 days ago

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

Business Type: Financial Institution

Job Title: Trade Surveillance Officer

Contract Type: Permanent

Management Position: No

Job Summary:

The role requires an expert in the collection and analysis of input and output data, as well as an understanding of key and up-to-date compliance matters. Knowledge of the surveillance tool 'Actimize' is an advantage but not a requirement. The person should be familiar with regulatory and conduct issues which are relevant to the CA CIB and CASA monitoring and surveillance framework, i.e., Market Abuse and Conduct Risk.

The CM&S Framework monitors transactions and communications within all the business lines, including:

  • Credit and Rates, Foreign Exchange & Treasury, Debt Capital Markets, Securitisation.
  • Global Investment Banking.
  • Identification and inclusion of conduct risks.

Experience in the execution and completion of compliance reports, providing statistical data, performing alert classification, escalation process, and detailed investigations while delivering high-quality and timely management information reports is essential. This includes documenting evidence and validating findings.

Proactive assessment of the compliance function and its associated risks arising from CA CIB and CASA is vital. This includes liaising with Business lines, Central Compliance, Business Compliance Advisory, Front office, and relevant IT teams as required. All procedures and documents should be kept up to date to reflect the compliance plan and day-to-day tasks.

Communication skills (both written and verbal); strong analytical skills, and a demonstrable track record of drafting reports and supplying relevant evidence that can be communicated to regulators is paramount. The incumbent should have experience of regular communications with senior managers and front office lines of business and be able to demonstrate flexibility, diplomacy, compliance ability, and expertise throughout those communications.

He/she must be a self-starter who can work autonomously or as part of a team, hence the person must be motivated and demonstrate a high standard of compliance and compliance culture.

Key Responsibilities:

The incumbent shall work within the Surveillance area to implement and perform monitoring and testing of trade alerts across all CA CIB and CASA business lines. He/she will give input for the design of new monitoring strategies.

  • Help to enhance monitoring and surveillance controls that extend to CA CIB and CASA for conduct and market abuse risks. This includes, but is not limited to:
  • Monitoring of Trades, Orders, RFQs, and Market Data.
  • Assist, develop, and help implement new monitoring controls other than those set out above.
  • Follow up on any alerts identified as requiring calibration, threshold, or logic changes or general improvements.
  • Compile breach/incident and audit trail reports arising from monitoring activity and report the outcome to the UK Head of Surveillance.
  • Create and document detailed user guides and desktop procedures.

Supplementary Information:

Our Commitment to Sustainability:

Crédit Agricole CIB is a pioneer and global leader in sustainable finance. Our commitment to sustainability and corporate responsibility means that your work will have a positive impact on our communities and the environment.

Our People-Centric Culture:

We value diversity and celebrate individuality. Our people-centric culture means that everyone is valued, and opportunities for personal and professional growth are available.

Position Location:

Europe, United Kingdom

London

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