Monitoring Compliance Officer Job at Crédit Agricole (NEW DELHI)

Monitoring Compliance Officer - CASPL

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

Location

India , MUMBAI

Salary:

Not provided

Crédit Agricole

Expiration Date

Until further notice

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)

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

Fulltime

Bmp Compliance Monitoring & Reporting Officer

Our partner, a prestigious and prominent international institution based in Kirc...

Location

Luxembourg , Luxembourg Centre

Salary:

Not provided

Randstad

Expiration Date

July 17, 2026

Requirements

University degree (preferably at postgraduate level/Master's) in Business Administration, Compliance, Audit, or any related subject
Between 3 and 6 years of relevant professional experience in non-financial risk or compliance activities (i.e., regulatory compliance, internal controls)
Excellent command of English, both oral and written
Knowledge of any other EU language is considered a strong asset
Previous experience with a GRC tool (ideally Mega Hopex) and knowledge of or experience with Artificial Intelligence (AI) tools will be highly valued
Solution-oriented mindset, maintaining a disciplined approach while using lateral thinking and creativity to troubleshoot problems
Proven resilience and ability to work under pressure, manage priorities, and meet strict deadlines in a fast-paced, cross-functional environment
Excellent interpersonal skills, a strong team spirit, and a high sense of confidentiality and responsibility when dealing with multiple stakeholders

Job Responsibility

Support the active implementation of the BMP Compliance Monitoring & Reporting framework
Analyze and review EU regulations applicable to the organization’s BMPs and relevant internal controls
Actively support digital initiatives by migrating BMPs and controls into the Governance-Risk-Compliance (GRC) tool (Mega Hopex)
Perform and lead internal control pilot testing activities

What we offer

Prime Location: Modern offices located in the heart of the Kirchberg business district, easily accessible by public transport (Tram)
Work Environment: A unique opportunity to boost your career within a leading institution, expand your professional network, and actively contribute to large-scale digital transformation projects

Fulltime

Monitoring & Surveillance Compliance Officer (Vice President)

The Communications Surveillance Vice President will be part of a dynamic team re...

Location

United States Of America , NEW YORK

Salary:

135000.00 - 165000.00 USD / Year

Crédit Agricole

Expiration Date

Until further notice

Requirements

Bachelor Degree / BSc Degree or equivalent
degree in Finance, Business, Technology or related field preferred
Minimum 5 years of experience in compliance surveillance, electronic communications monitoring, financial services compliance, or related risk functions
Knowledge of the U.S. Swap Dealer regulatory framework, specifically CFTC and NFA rules and regulations
Proven leadership experience managing compliance teams and developing surveillance and monitoring programs
Strong analytical and critical thinking skills, with the ability to assess, escalate, and mitigate compliance risks
Detail-oriented, ensuring all staff and communications are monitored effectively and aligned with regulatory workflows
Experience working with electronic communications surveillance tools (e.g., SHIELD, or similar)
Excellent verbal and written communication skills, with the ability to influence senior stakeholders and present complex compliance findings
Work well in a team environment displaying leadership qualities

Job Responsibility

Review and handle communications alerts and pertinent data to assess potential violations of laws, rules, regulations and the Firm’s policies
Direct the Monitoring & Surveillance review team, ensuring effective risk identification, escalation, and resolution
Enhance and deliver surveillance trainings by providing subject matter expertise to the central compliance training team for continuous program development
Maintain and enhance meaningful management information system and performance metrics to track program effectiveness and escalate key findings as needed
Assist with system implementations and enhancements, ensuring communications surveillance 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 processes and controls supporting communications surveillance
Prepare 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

Fulltime

Compliance Testing and Monitoring Officer

Summary: This role positions you as a critical line of defense in a major bankin...

Location

United States Of America , NEW YORK

Salary:

145000.00 - 160000.00 USD / Year

Crédit Agricole

Expiration Date

Until further notice

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

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

Fulltime

Compliance Officer - Central Compliance

You will serve as a Compliance Officer on the Central Compliance team. You will ...

Location

Jersey , Saint Helier

Salary:

Not provided

Alter Domus

Expiration Date

Until further notice

Requirements

Master's degree in finance, accounting, business, law or a related field
At least two years of professional experience in the financial service industry sector in a Compliance, Audit or Control function in Jersey
Familiarity with the Jersey regulatory framework applicable to Fund administration & Corporate services
Good communication skills
Strong analytical and organizational skills, with sharp attention to detail
Good command of Office 360
advanced Excel, data analytics capabilities and experience with artificial intelligence are a plus
Proactive, quick learner, consistently strive for results
Fluency in any language of other EMEA countries where Alter Domus operate is an asset

Job Responsibility

Support the execution of transversal compliance tasks, providing centralized support to Local Compliance Officers in discharging their compliance responsibilities
Assist with the execution of compliance risk assessments and monitoring plans for transversal compliance topics
Provide support with the monitoring and assessment of regulatory changes for transversal topics and draft regulatory watch reports
Provide support with the development of standardized methodologies, templates, global policies that support consistency across Alter Domus Group Compliance function
Foster strong cross-functional collaboration of the Risk, Compliance and Internal Audit functions, assisting with alignment across control functions and coordinating on compliance oversight, monitoring activities and audit-related matters
Support and contribute to compliance related projects - exploring new ideas, implementing new technologies and artificial intelligence solutions that improve performance and deliver on Alter Domus Compliance objectives

What we offer

Support for professional accreditations such as ACCA and study leave
Flexible arrangements, generous holidays, plus an additional day off for your birthday
Continuous mentoring along your career progression
Active sports, events and social committees across our offices
24/7 support available from our Employee Assistance Program
The opportunity to invest in our growth and success through our Employee Share Plan
Plus additional local benefits depending on your location

Fulltime

Compliance Officer (BSA / AML Compliance)

Elevate offers FDIC-insured USD accounts to freelancers and remote workers in em...

Location

United States

Salary:

100000.00 - 150000.00 USD / Year

Elevate Pay

Expiration Date

Until further notice

Requirements

Possess 5+ years of experience in building and overseeing BSA/AML/OFAC governance and policy programs, ideally spanning fintech and traditional financial institutions
Demonstrate an expert-level understanding of key regulations, including the USA PATRIOT Act, Bank Secrecy Act, and OFAC requirements, with the ability to identify emerging compliance trends and risks
Showcase a track record of exceptional results as a team leader and across reporting lines
Exhibit pragmatism, solution-oriented thinking, and comfort in providing nuanced approaches in the face of imperfect information and unclear regulatory expectations
Bring substantial knowledge of consumer financial services, preferably with experience in a consumer financial technology company
Excel as a strong communicator, adept at building relationships with external partners and internal stakeholders across operations, product, customer success, and risk
Demonstrate a passion for consumer financial inclusion and fintech
Thrive in fast-paced, fluid environments that require continuous adaptation
Possess compliance certifications (e.g., CAMS), strongly preferred
US citizen/visa only

Job Responsibility

Assume the role of Elevate's Bank Secrecy Act (BSA) Officer, overseeing the implementation and execution of our BSA/AML/OFAC Program
Lead and manage a high-performing team of compliance professionals
Develop and maintain an effective Customer Due Diligence (CDD)/Enhanced Due Diligence (EDD) risk rating and monitoring program, including ongoing assessments and analysis of unusual/suspicious account activity
Collaborate directly with Elevate's bank partners on BSA/AML/OFAC matters
Conduct comprehensive risk assessments for products and programs, identifying and mitigating -BSA/AML/OFAC risks
Enhance BSA/AML/OFAC Program metrics and provide executive reporting
Regularly update and maintain BSA/AML/OFAC policies and procedures
Promote a culture of compliance throughout the organization

Fulltime

Chief Compliance Officer and Money Laundering Reporting Officer

Owl Payments Europe is seeking an accomplished Chief Compliance Officer and Mone...

Location

Ireland , Dublin

Salary:

Not provided

Tripadvisor

Expiration Date

Until further notice

Requirements

Bachelor’s degree in Law, Finance, Business, Compliance, Risk Management, or related field
Proven, senior experience in compliance, AML, or risk management in a regulated Payments Institution or Electronic Money Institution in Ireland or the EU
Strong knowledge of PSD2, Irish Payments regulations, AML/CTF, and Central Bank of Ireland guidance
Leadership skills with ability to engage with Board-level stakeholders

Job Responsibility

Prepare and present regular (quarterly/annual) compliance reports to the Board and/or senior management
Implement, maintain, and periodically update a compliance governance framework
Develop and maintain a strong compliance framework for all Irish and EU requirements applicable to Payment Institutions
Liaise with the Central Bank of Ireland and other authorities on regulatory submissions
Oversee identification, assessment, and management of compliance, AML, and CFT risks
Partner closely with Technology and Data teams to ensure compliance frameworks are effectively supported
Lead horizon scanning to proactively identify emerging regulatory requirements
Monitor compliance with consumer protection regulations
Oversee the handling of regulatory complaints
Coordinate and support regular internal audits and compliance assurance testing

What we offer

Flexible activity-based working fostered collaboration and productivity
Competitive salary package including performance bonuses
Development programs, managerial courses, and learning series
Health insurance covers medical, dental, and vision for families
Lifestyle Reimbursement Benefit for personal travel, and physical, mental, and financial wellness
Several paid time off programs
Paid public holidays, and year-end office shutdown
Employee assistance program for short-term counseling and free Calm app subscription
State-of-the-art offices: dining, coffee points, and leisure area

Fulltime

Health & Safety Site Compliance Officer

We are looking for a Compliance officer to lead and manage all aspects of health...

Location

United Kingdom , Rochdale

Salary:

30000.00 - 35000.00 GBP / Year

Morson Talent

Expiration Date

Until further notice

Requirements

Strong background in Health, Safety Management Systems and compliance
Experience working in a manufacturing environment with practical knowledge of safe working practices
Environmental, Health and Safety, Quality experience or qualifications - NEBOSH National General Certificate in Occupational Health and Safety (or equivalent)
Excellent attention to detail, analytical thinking and problem-solving skills

Job Responsibility

Developing and continually reviewing company H&S policies and procedures to mitigate accidents and reporting mechanisms
Ensuring full compliance with UK legislation and HSE best practice
Produce and maintain up-to-date H&S documentation including risk assessments, training logs, and accident reports
Ensure timely investigation of accidents, incidents, and safety observations
Facilitate H&S training
Work closely with departmental managers and staff to ensure health and safety measures are practical and understood
Organise testing of equipment to ensure it’s safe to use
On-board new staff with H&S training
Develop and implement a standardised Environmental Plan and Environmental Management System, aligned with ISO 14001
Conduct environmental assessment

Fulltime

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Monitoring Compliance Officer

Job Description

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