Summary:
Under the supervision of the FCS New-York, the Compliance Coordinator will work closely with the New York Compliance/ CPL team to support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risks as well as act as the coordinator between CACIB Business Lines/Support Functions and CACIB New York compliance teams.
Key Responsibilities:
General
- Point of contact for New York Compliance team in the business lines/support functions, including but not limited to:
- Support awareness of applicable laws, rules and regulations (LRR) and work closely with CPL Regulatory Watch team assessing the impact of regulatory changes and leading implementation of changes at the business lines/support functions
- Support business lines/support functions with annual Compliance Risk Assessment and any remediation efforts thereof
- Implement Compliance policies and procedures in the business line s/support functions
- Maintain business line/support function policies and procedures addressing compliance requirements, including annual updates and addressing of gaps and self-identified issues
- Design, execute and report on Compliance controls for the business lines/support functions
- Build an initial Compliance control inventory and maintain on an on-going basis, including the quarterly submission and annual attestation
- Act as the coordinator for Business Lines/Support Functions and provide support to Compliance Testing, Compliance Monitoring and Audit missions
- Identify Compliance issues and gaps and update/maintain Issue Management tracker
- Escalate Compliance related incidents to respective leadership and governance forums, assist with resolution
- Actively manage remediation of Compliance issues or findings, including self-identified issues
- Support annual Compliance training needs assessment and assist in development of business line/support function Compliance training
- Participate in and contribute Compliance-related topics to CACIB US governance forums, such as CMC, ICC
- Support the Regulatory Affairs team with responses to banking and market regulators
- Collect and report on Compliance metrics
- Perform tasks to support Compliance-lead projects to enhance the business lines compliance policies, procedures, and internal controls
Management and Reporting:
The position reports directly to the head of FCS NY or one of his deputies.
Minimal education level
- Bachelor's Degree / BSc Degree or equivalent
Special Role Requirements:
- Minimum 5-7 years' experience of Compliance/ Business Management/ Audit/ Risk Management or other equivalent work experience.
- Experience of identifying and documenting compliance risks & controls.
- Experience of drafting compliance policies and procedures
- Knowledge of one or more of the following categories of regulations or subject matters:
- Banking regulations
- Broker-Dealer and Swap Dealer regulations (e.g., FINRA rules, SEC rules, CFTC, NFA etc.)
- Business Conducts (e.g., Anti-Bribery & Corruption, Whistleblowing, Conflicts of Interest, Conduct Risks, Fraud risks etc.)
- Knowledge of other regulations (e.g., privacy, tax compliance, cybersecurity etc.) is a plus
- General knowledge of the capital markets, investment banking, and corporate financing activities and products.
- Project management experience is a plus.
- Strong attention to details and analytical skills.
- Ability to work independently as well as work in a team environment.
- Ability to prioritize and work in a dynamic and deadline-focused environment.
- Ability to adapt to constant changes and demonstrate positive work attitude.
- Ability to communicate well across all levels of an organization including presentation with senior management.