Head Of Monitoring & Surveillance Compliance Officer - Director H/F Crédit Agricole CIB
États-Unis CDI- Télétravail partiel
- Bac +5
- Banque • Assurance • Finance
Les missions du poste
Summary :
The Head of Monitoring and Surveillance Americas will oversee the electronic and voice communications of the Firm's employees, in addition to trade surveillance review. The Head of Monitoring and Surveillance will also BE responsible for managing controls on specified activities as well as overseeing the Firm's data loss prevention compliance framework. The individual will also BE the key partner to GMD and other supporting partners on matters related to monitoring and surveillance activities. The individual will also act as the key liaison with various U.S. regulators on regulatory exams as well as inquiries.
Key Responsibilities :
- Lead and manage the E-Communications, Voice-Communications, and Trade Surveillance programs for Credit Agricole Americas, including the development, maintenance, and enforcement of policies, procedures and controls.
- Oversee the development and implementation of monitoring and testing routines relating to Capital Markets rules and regulations.
- Direct and manage escalations of data loss alerts to ensure adequate review and disposition.
- Direct the Monitoring & Surveillance review team, ensuring effective risk identification, escalation, and resolution.
- Oversee the handling of escalated alerts, working closely with line of business supervisors and compliance team as necessary to address potential issues in alignment with regulatory requirements.
- Enhance surveillance and data loss prevention trainings by providing subject matter expertise to the central compliance training team for continuous program development.
- Develop and maintain meaningful management information system and performance metrics to track program effectiveness and escalate key findings as needed.
- Lead system implementations and enhancements, ensuring surveillance and data loss prevention technology solutions are optimized, compliant with regulatory expectations, and aligned with industry best practices.
- Collaborate with IT and Project teams to design, implement, and refine models supporting surveillance and data loss prevention.
- Define and report Key Risk Indications (KRI) and Key Performance Indicators (KPI) to compliance management committees, highlighting key risks and trends.
- Act as a trusted liaison between the Americas Compliance function and key internal stakeholders, including Head Office, Business Unit Leadership, and other support functions.
Management and Reporting :
The Head of Monitoring & Surveillance Americas will report to Global Markets Regulatory Compliance Americas.
Key Internal contacts :
All business units;
IT Department;
Legal department;
Audit department;
Risk departments; and
Operations departments.
Key External contacts :
The Firm's regulators, including but not limited to FINRA, SEC, NFA, and CFTC.
Salary Range : $220k-$270k
#LI-DNI
Bienvenue chez Crédit Agricole CIB
A propos de Crédit Agricole Corporate and Investment Bank (Crédit Agricole CIB)
Crédit Agricole CIB est la banque de financement et d'investissement du groupe Crédit Agricole, 10ème groupe bancaire mondial en taille de bilan 2021 (The Banker, juillet 2022).
Près de 8600 collaborateurs répartis dans plus de 30 implantations en Europe, Amériques, Asie-Pacifique, Moyen-Orient et Afrique du Nord, accompagnent les clients de la Banque dans la couverture de leurs besoins financiers à travers le monde.
Crédit Agricole CIB propose à ses clients grandes entreprises et institutionnels une gamme de produits et services dans les métiers de la banque de marchés, de la banque d'investissement, des financements structurés, de la banque commerciale et du commerce international.
Pionnier dans le domaine de la finance Climat, la Banque occupe aujourd'hui une position de leader sur ce segment avec une offre complète pour l'ensemble de ses clients.
La majorité des postes est éligible au télétravail dans les conditions prévues par notre accord reposant sur le double volontariat (collaborateur & manager) et après une période d'intégration réussie.
Crédit Agricole CIB s'engage en faveur de l'insertion des personnes en situation de handicap, ainsi ce poste est ouvert à toutes et à tous.
Pour plus d'information : www.ca-cib.fr
Twitter : https://twitter.com/ca\_cib
LinkedIn : http://****/company/credit-agricole-cib/
- États-Unis
- CDI
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