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.
Key Responsibilities:
Testing and Monitoring (50%)
Reporting (20%)
Laws/Rules/Regulations/Compliance Risk Assessment (15%)
Special Projects/Duties as assigned (15%)
Requirements:
Bachelor’s Degree, preferably with 3 to 5 years of professional experience in the mutual fund and financial services industry.
Skills/Knowledge
Content knowledge
Technical Skills:
Behaviors:
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