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.
By working every day in the interest of society, we are a Group committed to diversity and inclusion and place people at the heart of all our transformations. All our job offersare open to persons with disabilities.
For more information, please visit www.ca-cib.com
Twitter: https://twitter.com/ca_cib
LinkedIn: https://www.linkedin.com/company/credit-agricole-cib/
By working every day in the interest of society, we are a group committed to diversity and inclusion. All our positions are open to people with disabilities.
Reference
2025-101619
Update date
27/06/2025
Job description
Business type
Types of Jobs - Compliance / Financial Security
Job title
Head of Investment and Corporate Banking Regulatory Compliance (“ICBRC”) Americas – Director
Contract type
Permanent Contract
Job summary
Summary:
The Investment and Corporate Banking Regulatory Compliance (“ICBRC”)– Americas is responsible for the regulatory Advisory function and the CMG function (dedicated to management of conflicts of interest, MNPI and the proper functioning of information barriers). It is part of the Global ICBRC function for CACIB worldwide. The candidate is responsible for overseeing and enforcing information barriers, managing conflicts of interest, ensuring regulatory compliance, and upholding the integrity of the Firm’s Private Side and Investment Research activities. The role requires strategic leadership, regulatory expertise, and collaboration with senior business and compliance leaders.
Primary Responsibilities
· Provide senior level regulatory advice and guidance on all aspects of control room matters, including conflicts of interest, investment banking, corporate banking/financing activities, investment research, and information barrier frameworks
· Ensure effective management of real or perceived conflicts arising from the Firm’s client global engagements in coordination with the CMG global function
· Oversee the Firm’s conflicts management framework in coordination with the CMG global function, ensuring the identification, assessment, and mitigation of potential conflicts of interest.
· Manage deal review processes, ensuring appropriate governance over client commitments that could result in conflicts between clients or employees.
· Ensure compliance with regulations governing investment research, including independence, disclosure, and conflicts management.
· Represent ICBRC on key global management and oversight committees.
· Oversee best practices and policy development across ICBRC policies & procedures
· Act as the key relationship manager with senior business leaders, providing advisory support on complex regulatory and conflicts matters
· Stay abreast of emerging regulatory trends, advising senior leadership on strategic responses to new compliance requirements.
Management and Reporting
The ICBRC Compliance Officer reports directly to the Head of GMRC in the Americas and the Head of ICBRC in Head Office.
Key Internal contacts
o Coverage, Global Investment Banking (“GIB”), and Global Financing Division (“GFD”) business lines;
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 FRB, NYDFS, FINRA, SEC, NFA, and CFTC.
Supplementary Information
Salary Range: $250k - $300k
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Position location
Geographical area
America, United States Of America
City
NEW YORK
Candidate criteria
Academic qualification / Speciality
Bachelor degree required
Graduate Degree or Law Degree preferred
Level of minimal experience
11 years and more
Experience
15 + years of experience in control room, investment research and investment banking compliance including M&A, Equity Capital Markets. Experience with global research rules, their application and the research settlement. Strong understanding of corporate banking/financing, investment banking and research operations across multiple regions. Experience handling complex investment banking, corporate banking/ financing activities, and research matters.
Experience with international, cross-border topics related to the financial industry.
Experience in dealing with U.S. financial industry regulators
Required skills
FINRA Series SIE, 79, 24, 63 or the ability to obtain these licenses in a timely manner upon joining is required.
Technical skills required
The capability to understand and to analyze complex situations, flexibility, intellectual rigor and positive mind set, allow you to confront new challenges with strategic stakes.
A solid understanding of regulatory requirements and expectations, and a strong experience in managing complex, sensitive projects with strict deadlines in an international environment.
Strong ability to communicate regulatory matters effectively to key stakeholders.
English: fluent
French, Spanish and /or Portuguese is a plus
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