CCO - Amundi Asset Management

Location: Boston, MA

The Chief Compliance Officer (“CCO”) for Amundi Asset Management US, Inc. (“Amundi AM”) will be responsible for ensuring that Amundi AM adopts and implements written policies and procedures reasonably designed to prevent violations of the Federal Securities Laws; SEC, FINRA, CFTC, NFA Rules and Regulations; and State Rules and Regulations. In addition, The Amundi AM CCO will also be responsible for supervising the compliance program for Amundi Distributor US, Inc., Amundi AM’s affiliated broker dealer. Amundi AM and Amundi Distributor US, Inc. (collectively “Amundi US”).

The CCO is responsible for managing all aspects of Amundi AM’s Rule 206(4)-7 investment adviser compliance program and for supervising the FINRA Rule 3120/3130 broker dealer compliance program.

Key Responsibilities:

Supervise a team of compliance personnel responsible for key areas, including, but not limited to:

 Policy Administration – developing and maintaining effective compliance policies and procedures;

 Administering Amundi US’ Code of Ethics;

 Monitoring Amundi US’ sales and marketing activities of securities products and investment advisory services;

 Global Investment Performance Standards (GIPS)

 Assisting in responding and reporting to clients, regulatory inquiries, and others;

 Communications review (i.e., sales material, advertising, email, etc.);

 Compensation (i.e., cash and non-cash) and Solicititation arrangements;

 FINRA, NFA, and state registrations (individual and firm);

 Regulatory reporting (e.g., 13D, G, H; Form PF; Section 16 filings; etc.)

 Privacy, Expert Services

 Compliance Training – including the FINRA Continuing Education program;

 Branch and Non-Branch location audits; and

 Customer complaints; and sanctions.

Manage the day-to-day operations of the investment adviser and broker dealer compliance teams, including managing personnel, allocating work, and making decisions regarding employment, training, professional development, performance appraisals, and compensation.

Working with the Head of Compliance, Americas, stay abreast of regulatory developments through contact with the SEC, FINRA, the NFA and state regulators to assess the impact on Amundi US. As necessary, design and implement a strategy to meet new regulatory requirements.

Develop external contacts including peer organizations and industry associates.

Amundi US, Inc. offers employees a hybrid work environment and requires all employees to be fully vaccinated when working in a company office, except where prohibited by state or local law.

Amundi US is an equal opportunity employer and provides equal employment opportunities to all associates and applicants for employment without regard to the classes or characteristics such as gender, race, color, national origin, ancestry, pregnancy or pregnancy-related condition, religious creed, age, disability, status as a veteran, sexual orientation, gender identity, genetic information, or other characteristic as protected under applicable federal, state, or local laws. Amundi US is committed to providing reasonable accommodations to qualified individuals with disabilities. To request or learn more about an accommodation, please contact Us.human.resources@Amundi.com.