Summary

As a Director in the Global Markets Regulatory Compliance (“GMRC”) Advisory team at CACIB, you will play a critical role in advising from the Compliance perspective on securities and investment banking activities with a focus on FINRA and SEC broker dealer requirements. You will engage with Global Markets and Investment Banking division as well as collaborate with Legal, Operations, Risk, IT, Finance and Audit stakeholders. In this role, you will be responsible for enhancing the compliance program, advising on new product and activity for securities and investment banking activity (e.g., mergers and acquisition), assisting in responding to regulatory inquiries, audits, examinations and investigations. Your expertise in SEC and FINRA regulatory requirements will be essential in maintaining a strong broker dealer compliance program and assisting the broker dealer in meeting its regulatory obligations.

Key Responsibilities:

• Provide regulatory and compliance advice for fixed income product lines and mergers and acquisition advisory
• Provide regulatory and compliance advice for inquiries raised by Regulatory reporting (i.e., TRACE), Operations, and Finance teams
• Coordinate compliance regulatory examinations and participate in the coordination of response to these examinations.
• Maintain policies and procedures (e.g., written supervisory procedures) to reasonably ensure compliance with applicable regulatory requirements.
• Communicate new regulatory requirements 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.
• Contribute to the preparation of internal branch inspection and annual certification of compliance and supervisory reports to facilitate annual meeting with the CEO
• Support the CCO in administering his/her duties to overseeing the broker dealer compliance program.

Salary Range: $180K-$220K

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Key Internal contacts

• All GMD business units;
• Legal department;
• Audit department;
• Risk departments; and
• Operations departments.

Key External contacts: The Firm’s regulators, including but not limited to SEC and FINRA

Education Essential: 

• Bachelor’s Degree

• Series 7, 63, and 24 required

Education Desirable: 

• JD

Education Essential: 

• 8+ years prior compliance advisory experience, including interaction with US regulators.
• Experience in managing a small team of compliance officers

Competencies Essential: 

• In-depth knowledge of the U.S. regulatory system in general and specifically knowledge of SEC and FINRA broker dealer requirements.
• 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 SEC and FINRA 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.

Skills & Knowledge Essential: 

• Working knowledge of all Capital Markets products, including fixed income and mergers and acquisition advisory.