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Head of Global Markets Regulatory Compliance Advisory - Americas

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 Credit Agricole Group, the 12th largest banking group worldwide in terms of tier 1 capital (The Banker, July 2021). Nearly 8,600 employees across Europe, the Americas, Asia-Pacific, the Middle East and 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 markets 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

Head of Global Markets Regulatory Compliance Advisory - Americas

Contract type

Permanent Contract

Job summary


The Head of Global Markets Regulatory Compliance (“GMRC”) Advisory - Americas is responsible for managing the GMRC Advisory team in the Americas region, and 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.  This position will also serve as the Deputy Head of Global Markets Regulatory Compliance in the Americas. 




Key Responsibilities

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

·         Manage the GMRC Advisory team in the Americas, and assist the Head of GMRC – Americas in managing and strategic planning for the GMRC team in the Americas.

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

·         Develop and deliver 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 Head of Global Markets Regulatory Compliance Advisory reports directly to the Head of Global Markets Regulatory Compliance in the Americas and ultimately to the Regional Chief Compliance Officer for 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. 

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

11 years and more


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

Experience in managing a small team of compliance officers

Required skills


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

·Management experience

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

·Strong understanding of Broker-Dealer (FINRA and SEC) 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

·Ability to interact with Senior Management, and provide them with information they require completely, promptly and accurately.



-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)