CA CIB UK

Investment banking

★★★★★

Compliance monitoring

06 October England - Greater London, London Perm

Summary
The Compliance Monitoring Surveillance Team is responsible for designing, implementing, monitoring and testing a transversal
range of surveillance models across the entire range of businesses of CA CIB and Crédit Agricole SA, London Branch (“CASA”)
trading activity, and providing a gap analysis that feeds into the Annual BCM&S Monitoring Plan.
The role requires an expert in the collection and analysis of trade input and output data, as well as an understanding of
Compliance matters and a very good knowledge of the Actimize tool and Fixed Income activities.
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 BCM&S Framework monitors communications and transactions within all the business lines including :
· Credit and Rates, Foreign Exchange & Treasury, Debt Capital Markets, Securitisation, etc.

· Structured Finance comprising Infrastructure, Power, Hotel & Property Finance, Shipping Finance and Global Commodity
Finance

Experience in the execution and completion of compliance reports, providing statistical data, performing alert classification,
escalation process and detailed investigations whilst delivering high quality and timely management information reports is
essential.
This includes documenting evidence and validating findings.
Proactive identification and assessment compliance risks facing CA CIB and CASA – liaising with business lines, Central
Compliance and Business Advisory teams as appropriate and keeping procedures and development documents up to date.
Participate pro actively as a key stake holder to the transformation project that has started in 2017
Communication skills (both written and verbal)
strong analytical skills and a demonstrable track record of drafting reports and
evidence sufficient to be communicated to the regulators, which is paramount.
The incumbent should have experience of regular
communications with senior managers and front office lines of business and 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 a motivated self-starter
and someone who demonstrates a high standard of compliance and a strong compliance culture.
All team members report to the Head of Business Compliance Monitoring and Surveillance Team.
Key Responsibilities
The incumbent shall work within the BCM&S area to design, implement and perform monitoring and testing of transactions across
all CA CIB and CASA business lines.
· Design and implement monitoring and surveillance controls to monitor CA CIB and CASA from conduct and market abuse
risks and avoid their crystallisation.
This includes, but is not limited to

o TCF/Suitability monitoring

o Margin monitoring

o Conflicts of interest

o Exchange position limits


University degree or equivalent level of experience.

Desirable:
Compliance related Professional Training qualification (e.g.
FINRA,
CISI).