Summary:

Under the supervision of the Head of Transversal Compliance, the Head of Governance and Conduct will be in charge of maintaining the CACIB US Compliance governance framework (e.g. Charters, Committees, annual staffing assessment, KPI/KRI production, etc.) and managing the Conduct program (e.g. Customer Complaint, Training, risky Behaviour management, Data Leakage Protection, Outside Business Activity & Personal Account Trading).

This position will lead a team to cover all above duties.

Key Responsibilities:

• Supervise the Compliance governance framework;
• Serve as the secretary for Committees managed by CACIB US Compliance and be responsible for the scheduling, charter, presentation decks, minutes, and action follow-up of committee meetings
• Act as Compliance point of contact and respond requests/queries for all other Committees;
• Enhance awareness and adoption of the compliance standards across the Bank;
• Steer design, development, and management of periodic and ad-hoc Compliance reports/dashboards;
• Provide or coordinate US CPL opinion on conduct matters;
• Manage the Bank’s Conduct program:
  • Customer Complaint;
  • Data Leakage Protection (DLP) ;
  • Outside Business Activity;
  • Personal Account Trading (incl. Private Investment);
  • Training (Ensure appropriate training materials development and targeted training provided to help the teams in the Americas to properly address compliance matters);
  • Block leave;
  • Individual breach severity evaluation and management
• Identify opportunities to enhance the above framework;

Salary Range: $190k-$230k

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Education Essential: Master's Degree

Experience Essential:

• At least 10 years of experience in a regulated financial services environment handling governance matters
• At least 5 years of experience in people management
• At least 5 years of experience working on conduct topics

Experience Desirable:

• 15+ years of experience in a regulated financial services environment handling governance matters
• 8+ years of experience in people management
• 8+ years of experience working on conduct topics

Competencies Essential: 

• Strong analytical, problem-solving and organizational skills.
• Able to break down complex problems into simple manageable units, develops solutions for each unit and integrate them back into the whole.
• Ability to prioritize and work in a dynamic, deadline-focused environment.
• Results-oriented: setting goals and priorities that maximize the use of resources available to consistently deliver quality results.
• Capable of handling multiple, simultaneous and various ad-hoc requests.
• Technical rigor and attention to detail
• Proactive in managing workload and prioritizing tasks

Competencies Desirable:

• Compliance related certification is a plus, such as CAMS
• Confident in taking responsibility and resolving problems with strong influencing and negotiating skills
• Patience and tenacity to obtain results
• Capacity to steer discussion back to the objectives when needed and ensure respect of the deadlines and commitments

Skills & Knowledge Essential: 

• Proficient in Microsoft suites
• Excellent verbal, writing and presentation skills with the ability to interact with stakeholders at all levels within the organization and be able to relay complex technical concepts to non-technical audiences

Skills & Knowledge Desirable: 

• Knowledge in data aggregation tools and data visualization tools is a plus