COMPLIANCE SPECIALIST - CUSO COMPLIANCE

at  Amundi US

Amundi Compliance seeks an individual to join the CUSO (“Combined U.S. Operations”) Compliance team as a Compliance Specialist. CUSO Compliance is responsible for developing and coordinating a comprehensive and integrated Compliance function within Amundi US, Inc. (“Amundi”) and reporting on this function to the Credit Agricole CUSO Compliance team. The Amundi CUSO team members will be key in ensuring that the processes established for managing compliance risk on a firmwide basis will be formalized in a compliance program that establishes the framework for identifying, assessing, controlling, measuring, monitoring, and reporting compliance risks across the organization, and for providing compliance training throughout the organization.
The Compliance Specialist is expected to perform a wide range of responsibilities within the department, primarily involved in the performance of Compliance Risk Assessment, Testing and Monitoring, Reporting, and other areas. This role will report to the Manager – CUSO Compliance.
The role will require coordination across departments within Amundi and compile sensitive materials for presentation to senior management and regulators. The successful candidate should be able to effectively collaborate within a team setting and possess excellent interpersonal and organizational skills. This role will require coordination and proactive outreach to various groups and divisions within Amundi to collect and communicate information concerning business activities and potential risks to the firm.

REQUIREMENTS:

Bachelor’s Degree, preferably with 3 to 5 years of professional experience in the mutual fund and financial services industry.

CONTENT KNOWLEDGE

• Working knowledge/understanding of the function and processes of a Broker Dealer and/or Investment Advisor
• Working knowledge/understanding of the regulatory rules and restrictions, including the Investment Company Act of 1940 and Investment Advisers Act of 1940, and FINRA

TECHNICAL SKILLS:

• Proficient at using the following software applications: Microsoft Word, Excel, PowerPoint, and Internet
• Proven spreadsheet and presentation skills, especially Microsoft Word, Excel and PowerPoint

EXPERIENCE

Preferred

• 3 - 5 years: Professional experience in the mutual fund and financial services industry

EDUCATION

Required

• Bachelors or better

Testing and Monitoring (50%)

• Performing testing of First and Second Line of Defense policies and procedures
• Create status report of individual testing results
• Assist Manager with the creation of the overall “Testing Report”
• Assist in developing improvements to the testing process
• Assist in identifying new processes to be tested

Reporting (20%)

• Interact with various Amundi departments to request/gather materials required for Credit Agricole CUSO Compliance reporting
• Assist in creating reporting decks to be provided to Credit Agricole CUSO Compliance

Laws/Rules/Regulations/Compliance Risk Assessment (15%)

• Inventory Policies and Procedures as necessary
• Review Policies and Procedures for accuracy
• Suggest Updates to Policies and Procedures as necessary
• Participate in the Compliance Risk Assessment process

Special Projects/Duties as assigned (15%)