<p>Â</p> <p>Summary:</p> <p>Â</p> <p>Reporting to the Head of Compliance Risk Assessment within the Transversal Compliance Team, the Compliance Risk Assessment Officer is in charge of implementing the CACIB US Compliance Risk Assessment Program.</p> <p>Â</p> <p>Compliance risks must be identified before they can be properly assessed, monitored and mitigated. The businesses, as 1st Line of Defence (LoD1), are responsible for identifying and mitigating all compliance risks for their activities and assessing controls. The CACIB US Compliance Division, as the 2nd Line of Defence (LoD2), manages the CRA process, provides guidance to the businesses and is responsible for credible challenge with the risk identification, risk mitigation and overall completeness.</p> <p>Â</p> <p>The Compliance Risk Assessment serves CACIBâs US (âthe Firmâ) commitment to manage its compliance risk, manage its annual compliance plan and to mitigate non-compliance risk by helping the Firmâs personnel to understand the policies, laws, rules and regulations that apply to them. The Compliance Risk Assessment Officerâs mandate is to ensure the firmâs CRA process is appropriately executed and reports are available to Senior Management within the Bank and Broker/Dealer businesses.</p> <p>Â</p> <p>Key Responsibilities:</p> <p>Â</p> <p>General</p> <p>Â</p> <p>ÂÂÂÂÂÂÂÂÂ Participate with the design / update of the Compliance Risk Assessment (CRA) methodology</p> <p>ÂÂÂÂÂÂÂÂÂ Prepare and run the annual CRA exercise within the Broker/Dealer business and Support Functions as per the Firmâs policies and procedures and tools</p> <p>ÂÂÂÂÂÂÂÂÂ Knowledgeable with FINRA and SEC rules for the Broker/Dealer business</p> <p>ÂÂÂÂÂÂÂÂÂ Manage data collection and data quality controls for input data to the CRA exercise and management reports</p> <p>ÂÂÂÂÂÂÂÂÂ Perform credible challenge of CRA results from the LoD1</p> <p>ÂÂÂÂÂÂÂÂÂ Prepare management presentations on the CRA framework and results</p> <p>ÂÂÂÂÂÂÂÂÂ Report on and provide analysis on the annual CRA exercise</p> <p>ÂÂÂÂÂÂÂÂÂ Prepare regular reports on the Compliance Program, to local and head office management on key Compliance metrics, risks, and controls to ensure escalation of key concerns</p> <p>ÂÂÂÂÂÂÂÂÂ Prepare data analytics dashboards</p> <p>ÂÂÂÂÂÂÂÂÂ Assist in managing the Risk and Control Self Assessments (RCSA) process and related risk mapping for the Compliance Function</p> <p>ÂÂÂÂÂÂÂÂÂ Follow-up on CRA actions plans</p> <p>ÂÂÂÂÂÂÂÂÂ Work with Compliance Teams to use the results of the CRA for the annual testing and training plans design</p> <p>ÂÂÂÂÂÂÂÂÂ Liaise with relevant Divisions to participate to new tools and/ or methodological implementation</p> <p>Â</p> <p>Â</p> <p>Other</p> <p>ÂÂÂÂÂÂÂÂÂ Assist in working with Operational Risk Management on Compliance related controls and reporting.</p> <p>Certified Regulatory Compliance Manager (CRCM)</p> <p>Â</p> <p>Analytical skills to understand risk rating scoring</p> <p>Â</p> <p>Â</p> <p>Experience with managing or performing Compliance Risk Assessment or RCSA exercises</p> <p>Use of excel, Powerpoint;</p> <p>Â</p> <p>Â</p> <p>Data aggregation tools, data visualization tools</p> <p>Â</p> <p>Â</p> <p>Highly organized; written and communication skills</p>