General information
Entity
About Crédit Agricole Corporate and Investment Bank (Crédit Agricole CIB)
Crédit Agricole CIB is the corporate and investment bank of the Crédit Agricole group, the 10th largest banking group in the world *.
We support major companies and financial institutions in their development and the financing of their projects.
As pioneers in responsible finance, social and environmental commitments are at the heart of our activities.
Joining our teams means working in a multicultural environment, both dynamic and stimulating, where you will contribute to developing a sustainable economy.
We support employees throughout their journey: you will develop your skills and access various mobility opportunities among the diversity of our businesses in more than 30 international locations.
Our culture is built on collaboration, innovation and openness, where everyone is valued and empowered.
By working every day in the interest of society, Crédit Agricole CIB aligns with the Group values committed to diversity and inclusion and placing people at the heart of all its transformations.
All our jobs are open to people with disabilities. We welcome applications from candidates of all backgrounds and experiences.
Ready to take part in our mission ?
*By balance sheet size - The Banker, Juillet 2025
Reference
2025-96641
Update date
07/02/2025
Job description
Business type
Types of Jobs - Compliance / Financial Security
Job title
Global Markets Regulatory Compliance Advisory – Americas Director
Contract type
Permanent Contract
Job summary
Summary
As a Director in the Global Markets Regulatory Compliance (“GMRC”) Advisory team at CACIB, you will play a critical role in advising internal stakeholders on the implementation and development of compliance requirements set forth by the SEC for security-based swap dealer and CFTC and NFA for the swap dealer. This position is integral to enhancing the overall swap dealer program and implementing the security-based swap dealer program. You will engage with Global Markets Division as well as collaborate with Legal, Operations, Risk, IT, Finance and IGE stakeholders. In this role, you will be responsible for implementing security-based swap dealer compliance program, advising enhancements to the swap dealer compliance programs, assisting in responding to regulatory inquiries, audits, examinations and investigations. Your expertise in SEC, CFTC and NFA swap regulations will be essential in establishing the security-based swap dealer compliance program and assisting the Bank in meeting its regulatory obligations.
Key Responsibilities:
· Responsible for the ongoing development, implementation and refinement of a comprehensive security-based swap dealer 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.
· Assess the inherent risk of business units as well as the effectiveness of mitigating controls in order to minimize the residual risk of reputational damage, regulatory consequences and other operational risk through a surveillance and monitoring program.
· Design, implement and maintain Compliance systems to ensure consistency in achieving industry best practices and in minimizing regulatory risk.
· Provide advice on relevant regulations and internal policies and procedures to internal stakeholders including trading and sales personnel and key support functions.
· Evaluate new products and activities to ensure compliance issues are identified and remediated.
· Support the CCO in administering his/her duties to overseeing the Bank’s security-based swap dealer and swap dealer compliance program.
· Contribute to the preparation of the annual CCO report exercise
Key Internal contacts
o All GMD business units;
o Legal department;
o Audit department;
o Risk departments; and
o Operations departments.
Key External contacts
The Firm’s regulators, including but not limited to SEC, NFA, and CFTC.
Supplementary Information
Salary Range: $180k - $220k
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Position location
Geographical area
America, United States Of America
City
NEW YORK
Candidate criteria
Minimal education level
Bachelor Degree / BSc Degree or equivalent
Academic qualification / Speciality
Bachelors Required
JD preferred.
Level of minimal 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
NFA SPR (or ability to complete upon employment)
Required skills
· In-depth knowledge of the U.S. regulatory system in general and specifically knowledge of SEC, CFTC and NFA rules and regulations applicable to OTC derivatives.
· Knowledge of Capital Markets swap products and offerings, policies and procedures and business culture to reconcile regulatory needs with specific product and deliver channel needs.
· Judgement in handling complex and highly confidential matters with unquestionable character, integrity and professionalism.
· Capability to drive consensus and, where appropriate, to take a firm position even in the absence of broad-based support.
· Analytical knowledge of complex products, issues and people and the mix of those, and the operational, financial, systemic and risk management processes around such products and offerings.
· A mastery of applicable CFTC and NFA rules and regulations; exceptional reasoning and analysis skills; attention to detail; strong oral and written skills, resourcefulness, among other abilities.
· Proficiency in Excel, PowerPoint, and Microsoft Office.
Technical skills required
Working knowledge of all Capital Markets products, including Foreign Exchange, Interest Rate Derivatives, and Fixed Income Securities.
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