Monitoring Compliance Officer - CASPL Job at Crédit Agricole (MUMBAI)

Job Description

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.

Job Responsibility

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
Participate in the definition of dashboards and service management reports
Participate in ad-hoc requests, special projects, investigations or regulatory reviews
Participate in the drafting and maintenance of procedures and modernization of processes
Be involved, at your own level, in the dissemination of the Compliance culture, including in your interactions with the Business line and Compliance advisory

Requirements

Bachelor Degree / BSc Degree or equivalent
Minimum Bachelor’s degree (or equivalent) engineering school, business school, university courses, Law
A minimum of 3 years / 5 years of professional experience
Excellent analytical and research skills
Clarity and precision of written and oral communications
Ability to work in a team and with the business
Ability to listen and synthesize
Experience in the Financial Markets environment is expected for this position in, Middle, Back-office or a specialist of controls such as a Permanent Controller or an Auditor
Knowledge of market activities, products and processes
Knowledge of some regulations such as MiFID, DFA, financial code (Global FX code, FMSB)

Nice to have

Knowledge / past experience in controls
Corporate and Investment Banking business experience
A certain level of sensitivity to test automation and data engineering solutions

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