Global Markets Regulatory Compliance Advisory
hace 3 días
Global Markets Regulatory Compliance AdvisoryAbout Crédit Agricole Corporate and Investment Bank (Crédit Agricole CIB)
Crédit Agricole CIB is the corporate and investment banking arm of Crédit Agricole Group, the 10th largest banking group worldwide in terms of balance sheet size (The Banker, July 2022). With 8,600 employees in more than 30 countries, we support our clients' financial needs globally.
Crédit Agricole CIB offers its large corporate and institutional clients a range of products and services in capital market activities, investment banking, structured finance, commercial banking, and international trade.
For more information, please visit www.ca-cib.com Job Description
Position OverviewThe Global Markets Regulatory Compliance ("GMRC") Advisory – Americas Director is responsible for providing advice on Swap Dealer and Broker Dealer regulations (including the global impact of relevant U.S. regulations) and internal policies and procedures to internal stakeholders, including trading and sales personnel and key support functions.
Key Responsibilities:Responsible for the ongoing development, implementation, and refinement of a comprehensive compliance program.Coordinate compliance regulatory examinations and participate in the coordination of response to these examinations.Maintain policies and procedures to reasonably ensure compliance with applicable regulatory requirements.Communicate new regulatory requirements simply and efficiently to affected business and other functions/stakeholders to ensure compliance.Continually assess the inherent risk of business units as well as the effectiveness of mitigating controls to minimize residual risk.Design, implement, and maintain Compliance systems to ensure consistency in achieving industry best practices and minimizing regulatory risk.Provide advice on relevant regulations and internal policies to internal stakeholders.Evaluate new products and activities to ensure compliance issues are identified and remediated.Key Internal Contacts:All GMD business unitsLegal departmentAudit departmentRisk departmentsOperations departmentsKey External Contacts:The Firm's regulators, including but not limited to FINRA, SEC, NFA, and CFTC.
Salary Range:$180k - $220k
Candidate CriteriaMinimum Education Level: Bachelor Degree / BSc Degree or equivalent
Academic Qualification / Specialty: Bachelors Degree Required; Juris Doctoris Preferred
Level of Minimum Experience: 6-10 years
Experience: 8+ years prior compliance advisory experience, including interaction with US regulators; Experience in managing a small team of compliance officers; Series 7, Series 3, and Series 24 (or ability to obtain within the first year of employment); NFA SPR (or ability to complete upon employment)
Required Skills:In-depth knowledge of the U.S. regulatory system and specifically knowledge of CFTC and NFA rules applicable to swap dealers.Knowledge of Capital Markets swap products and offerings.Judgment in handling complex and highly confidential matters with integrity and professionalism.Capability to drive consensus and take a firm position when necessary.Analytical knowledge of complex products and operational, financial, and risk management processes.Mastery of applicable CFTC and NFA rules; exceptional reasoning and analysis skills; attention to detail; strong oral and written skills.Working knowledge of all Capital Markets products, including Foreign Exchange, Interest Rate Derivatives, and Fixed Income Securities.
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