Monitoring Compliance Officer

Description du poste

Summary of the position :

You will be joining the Markets Regulatory Compliance Monitoring department, which is a critical function within CACIB, responsible for the identification, assessment, monitoring and reporting of the Banks compliance risks.

CPL :

Global Compliance (CPL)s mission is to contribute to ensuring compliance of the activities and operations of the Bank and its employees with legislative and regulatory provisions as well as internal and external rules applicable to CACIBs activities in matters of banking and financial activities, or which could lead to criminal sanctions, sanctions from regulators, disputes with clients and more broadly reputational risk.

Main duties :

Within the Compliance Monitoring team, you are mainly responsible for  :

• Assessing non-compliance risks by ensuring, through a risk-based approach, the proper application of financial market regulations, laws and codes;
• Performing compliance monitoring controls and / or spot checks
• Carry out compliance checks on MiFID, EMIR, ESMA, SFTR, PRIIPS, DFA regulations;
• Participate in the completion of the Compliance monitoring control plan : each Compliance Controller shall execute his / her controls and fill the related results into the dedicated spreadsheet;
• Participate in the control framework of employees who fall in scope of the DFA registration and register them within the CACIB AP list, maintain this list on a day-to-day basis and monitors it through monthly controls.
• Perform periodic consolidated reports, Key Production Indicators, and Management Indicators from the global Local Compliance Network, with a focus on Market activities monitoring.
• Participate in the consolidation of stakeholders contributions and communication of the finalized support to GMRC management.