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Head of Global Markets Regulatory Compliance Monitoring and Surveillance - Americas


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 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.


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

2022-70446  

Update date

05/07/2022

Job description

Business type

Types of Jobs - Compliance / Financial Security

Job title

Head of Global Markets Regulatory Compliance Monitoring and Surveillance - Americas

Contract type

Permanent Contract

Job summary

Summary

The Head of Global Markets Regulatory Compliance (“GMRC”) Monitoring and Surveillance - Americas is responsible for managing the GMRC Monitoring and Surveillance team in the Americas region, and for development and enhancement of the Global Markets control and surveillance framework in the region.

 

 

 

Key Responsibilities

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

·         Oversight of monitoring and surveillance reviews of sales and trading activity, and communications, for possible regulatory or internal policy violations. 

·         Maintain and develop procedures for surveillance and monitoring reviews.

·         Identify gaps in surveillance coverage and recommend improvements and enhancements to the overall control framework.

·         Advise Compliance and Business management on the effectiveness of the surveillance program

·         Evaluate processes for key compliance controls and develop strategies to ensure appropriate and effective testing of controls.  

·         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 Monitoring and Surveillance 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

City

NEW YORK

Candidate criteria

Minimal education level

Bachelor Degree / BSc Degree or equivalent

Academic qualification / Speciality

Essential

-Bachelor's degree

 

Desirable

-Graduate degree

Level of minimal experience

11 years and more

Experience

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

Required skills

Essential

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

·        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 identify gaps and provide practical solutions

·        Strong writing and presentation skills

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

 

Desirable

-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)