Summary:
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.
Compliance risks must be identified before they can be properly assessed, monitored and mitigated. The businesses, as 1st Line of Defense (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 Defense (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.
The Compliance Risk Assessment serves CACIB’s US (“the Firm”) commitment to manage its compliance risk, manage its annual compliance plan and to mitigate non-compliance risk by helping the Firm’s personnel to understand the policies, laws, rules and regulations that apply to them. The Compliance Risk Assessment Officer’s mandate is to ensure the firm’s CRA process is appropriately executed, and reports are available to Senior Management within the Bank and Broker/Dealer businesses.
Key Responsibilities:
General
Other
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