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Global Markets Regulatory Compliance – Swap Dealer Advisory Compliance Officer

Vacancy details

General information


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.

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Job description

Business type

Types of Jobs - Compliance / Financial Security

Job title

Global Markets Regulatory Compliance – Swap Dealer Advisory Compliance Officer

Contract type

Permanent Contract

Job summary


The Swap Dealer Advisory Compliance Officer is responsible for providing advice on Swap 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

·         In collaboration with stakeholders throughout the organization, responsible for assisting the GMRC Advisory team in the ongoing development of processes, policies, and procedures to help ensure compliance with the relevant regulatory requirements, including rules and regulations issued by the NFA, and CFTC.

·         Evaluate new products and activities to ensure compliance issues are identified and addressed and an appropriate compliance program is implemented, as needed.

·         Key point of contact within compliance for any remediation or implementation projects.

·         Assist in the development and delivery of training and education to make employees aware of their compliance and regulatory responsibilities. 

·         Coordinate with Compliance Testing and Surveillance teams to provide reasonable assurance that the firm is in compliance with applicable regulatory requirements and internal policies. 

·         Recommend and implement enhancements to the Global Markets Regulatory Compliance program.

·         Assist in responding to regulatory inquiries, audits, examinations and investigations.


Management and Reporting


The Swap Dealer Advisory Compliance Officer reports directly to the Head of Global Markets Regulatory Compliance Advisory and ultimately to the Head of Global Markets Regulatory Compliance in the Americas. 



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 FINRA, SEC, NFA, and CFTC. 



Salary range: $120,000 - $160,000


Position location

Geographical area

America, United States Of America



Candidate criteria

Minimal education level

Bachelor Degree / BSc Degree or equivalent

Academic qualification / Speciality


-Bachelor's degree


-Graduate degree

Level of minimal experience

6-10 years


5+ years prior compliance advisory experience, including interaction with US regulators.

Required skills


·Strong Understanding of the Dodd Frank Act and associated CFTC and NFA rules and regulations.

·Ability to analyze regulations and determine the impact on the Bank

·Ability to identify, research, and define compliance requirements.

·Strong writing and presentation skills

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


-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)