Compliance Testing and Monitoring Officer Job at Crédit Agricole (NEW YORK)

Job Description

Summary: This role positions you as a critical line of defense in a major banking institution where your testing and analysis directly influences executive decision-making and shapes business practices across multiple departments. You'll gain unparalleled visibility through regular senior leadership presentations, develop sophisticated regulatory expertise across banking compliance domains, and build executive communication skills that accelerate career advancement into Compliance, Risk, or Internal Audit leadership roles. The combination of strategic impact, cross-functional exposure, investigative problem-solving, and the professional development infrastructure of a global banking platform like CACIB makes this the ideal next step for building a high-trajectory career in financial services compliance.

Job Responsibility

Strategic Testing Leadership: Orchestrate high-impact compliance reviews across diverse banking operations, serving as the architect of the Annual Compliance Testing Plan. You'll design and execute sophisticated testing strategies that safeguard organizational integrity while enabling business growth
Craft Compelling Compliance Narratives: Transform complex regulatory findings into crystal-clear documentation that tells the story. Your work papers won't just meet third-party standards—they'll set the benchmark for clarity, thoroughness, and professional excellence that auditors and regulators applaud
Detective Work That Drives Change: Uncover hidden risks and decode the 'why' behind compliance gaps. You're not just identifying issues—you're the investigative force that traces problems to their source and architects innovative solutions that strengthen the entire organization
Command the Boardroom: Present your findings to the people who matter most: Department Heads, the Chief Compliance Officer, and the Executive Committee. Your insights shape strategy, influence policy, and drive decision-making at the highest organizational levels
Author Reports That Move Mountains: Draft executive-level reports that don't just inform—they inspire action. Your communications bridge the gap between technical compliance and business strategy, making complex regulatory matters accessible and actionable for senior leadership
Own the Accountability Engine: Be the driving force ensuring nothing falls through the cracks. Track issues from discovery to resolution, holding action owners accountable and maintaining the momentum that turns findings into fixed processes
Validate Victory: Close the loop with authority. Verify remediation effectiveness, document successful closures, and provide the validation memos that give leadership confidence in the organization's compliance posture
Monitor What Matters: Execute strategic monitoring activities that keep the organization ahead of regulatory curves. Your proactive surveillance identifies emerging risks before they become problems, positioning the bank as a compliance leader rather than a follower
Empowered: Every testing review you conduct, every report you author, and every issue you resolve strengthens the organization's reputation, protects its assets, and advances your career as a trusted compliance authority
Be the Intelligence Hub: Serve as the vital communication nexus between frontline execution and executive leadership. Your proactive status updates don't just report progress—they provide strategic visibility that enables leadership to make informed decisions, allocate resources effectively, and maintain organizational agility in a dynamic regulatory environment
Shape the Future of Compliance: Move beyond execution to innovation. Contribute your frontline insights and analytical expertise to architect next year's Annual Testing and Monitoring Plans. Your recommendations influence organizational priorities, resource allocation, and the strategic direction of the entire compliance function making you a key voice in shaping how the bank approaches regulatory excellence
Be the Regulatory Response Champion: Step into the spotlight when it matters most. Support high-stakes regulatory examinations and internal audits by providing expert responses that showcase the organization's compliance sophistication. Your contributions protect the bank's reputation and demonstrate regulatory excellence to external stakeholders
Refine the Compliance Playbook: Continuously elevate team standards by contributing to procedure enhancements and process improvements. Your hands-on experience translates into better methodologies, clearer documentation standards, and more efficient workflows that benefit the entire compliance organization
Embrace Dynamic Opportunities: Thrive in a role where no two days are identical. Take on special projects and strategic initiatives that expand your expertise, increase your visibility, and position you as the go-to professional for high-priority compliance challenges

Requirements

At least 7 years' experience in the financial services industry with a focus on compliance
5 years of Audit or Compliance Testing experience required, with a focus on capital market
Good knowledge of risks and controls, including analyzing risks, identifying and documenting controls, and assessing control design and operating effectiveness
Strong knowledge of areas such as capital markets, debt capital markets, investment banking, and corporate banking coverage as well as broker-dealer / swap dealer regulatory framework such as SEC, FINRA, NFA, CFTC
General knowledge of one or more of other banking products/services and regulations preferred: Banking regulations, Business Conducts (Anti-Bribery & Corruption, Whistleblowing, Conflicts of Interest, Conduct Risks, Fraud risks etc.), Financial Crime (AML, Sanctions/OFAC), Other regulations (privacy, tax compliance, cybersecurity etc.)
Ability to manage multiple projects using technology and analytic techniques (advanced in excel) to work effectively and efficiently in a fast-paced environment
Strong attention to details and analytical skills
Ability to work with minimum supervisions and prioritize multiple tasks to focus on meeting the expected timelines
Good communication skills to be able to present clearly and concisely to all levels of stakeholders
Ability to engage with stakeholders and build rapport and partnership with stakeholders
Project management experience preferred
Professional designations in the auditing field (e.g., CPA, CIA, CISA) preferred
Experience working in capital market regulators preferred
FRB / NYS DFS regulations
Business Conducts (Anti-Bribery & Corruption, Whistleblowing, Conflicts of Interest, Conduct Risks, Fraud risks etc.)
AML/OFAC

Nice to have

General knowledge of one or more of other banking products/services and regulations preferred
Banking regulations
Business Conducts (Anti-Bribery & Corruption, Whistleblowing, Conflicts of Interest, Conduct Risks, Fraud risks etc.)
Financial Crime (AML, Sanctions/OFAC)
Other regulations (privacy, tax compliance, cybersecurity etc.)
Project management experience preferred
Professional designations in the auditing field (e.g., CPA, CIA, CISA) preferred
Experience working in capital market regulators preferred
FRB / NYS DFS regulations
AML/OFAC

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Compliance Testing and Monitoring Officer

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