Monitoring Compliance Officer - CASPL

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.