Capital Markets Regulatory Affairs

Vacancy details

General information

Entity

About 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).
8,600 employees in more than 30 countries across Europe, the Americas, Asia-Pacific, the Middle-East and North Africa, support the Bank's clients, meeting their financial needs throughout the world.
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.
The Bank is a pioneer in the area of climate finance, and is currently a market leader in this segment with a complete offer for all its clients.


For more information, please visit www.ca-cib.com

Twitter: https://twitter.com/ca_cib
LinkedIn: https://www.linkedin.com/company/credit-agricole-cib/
  

Reference

2022-69810  

Update date

23/06/2022

Job description

Business type

Types of Jobs - Compliance / Financial Security

Job title

Capital Markets Regulatory Affairs

Contract type

Permanent Contract

Job summary

Mission Statement and position Summary:

 

The Compliance Department of CACIB Americas is seeking an experienced candidate to serve as the Regulatory Affairs, Capital Markets Specialist. The candidate will be responsible for animating the regulatory watch performed by the Compliance department on topics related to the Capital Markets activities, providing analysis and advices regarding the impacts of new or amended laws, rules and regulations and their translation into the Department’s Policies and Procedures. The candidate will work closely with all the teams of the Compliance department, and other teams within the bank. The candidate is an attorney with experience both with the laws, rules and regulations applicable to broker dealers, swap dealers and more generally speaking to capital market activities in the US, and preparing and advising on associated compliance policies and procedures and control framework.

 

Key Responsibilities:

 

-       Under the supervision of the Head of Regulatory Affairs, in charge of the regulatory watch on capital market activities performed by the Compliance Department of CACIB and to work closely with the heads of teams of the Compliance Department and the first line of defence on their perimeter.

-       Maintenance and update of the inventory of Laws, Rules and Regulations related to Capital Market activities applicable to CACIB US entities and activities used to perform the Compliance Risk Assessment,

-       Preparing, updating and reviewing Policies and Procedures.

-       Participating in the preparation of the communication on the evolution of the regulatory environment and its impacts to the senior management and the bank’s governance committees.

-       Ensuring that the evolution of laws, rules and regulations in its perimeter are properly taken into account by the Compliance department, but also the other teams impacted within the organization.

Participate to industry forums and represent the Bank and the Compliance Department to industry working group on regulatory affairs related to Capital Markets activities

Position location

Geographical area

America, United States Of America

City

NEW YORK

Candidate criteria

Minimal education level

Postgraduate degree – MA/MSc/PhD/Doctorate or equivalent

Academic qualification / Speciality

-       Master Degree or JD.

 

-       Extensive experience at a senior level with a financial institution or regulator.

Level of minimal experience

6-10 years

Experience

-       Minimum 8 to 10 years of experience in a regulatory agency, a comparable banking organization or law firm working on Capital Markets regulatory topics.

 

-       The individual should be familiar with institutional foreign banking organizations operating within the US, Broker Dealer legal and regulatory framework and have an experience with the requirements for Swap Dealers, including direct interaction with regulators. The individual must also be capable of effectively communicating with executives and colleagues across various lines of business and throughout a global Compliance organization.

Required skills

Essential

-US Markets regulations (SEC/FINRA, Dodd Frank Act, Swap Dealer requirements),

-Strong analytical and communication skills required as well as the ability to work autonomously and to cooperate/work effectively across all disciplines in the bank. 

-Capable of leading multiple, simultaneous and various ad-hoc requests

-Strong intellect with consistent application of analytical skills and a capacity to translate technical and complex issues in a straightforward manner for broader audiences

-Result oriented: setting goals and priorities that maximize the use of resources available to consistently deliver quality results.

-Knowledge of and experience in the main activities of corporate and investment banking services such as debt and equity capital markets, merger and acquisitions services, derivatives and secondary markets, etc.

-Technical rigor and attention to detail coupled with good presentation skills that demonstrate the practical implications of issues.

-Working knowledge of all Capital Markets products, including Foreign Exchange, Interest Rate Derivatives, and Fixed Income Securities

-Must be completely fluent in English (written and spoken)

Desirable

-Knowledge and previous experience on US banking rules and regulations is a plus

-French desirable