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Head of Regulatory Watch - job 1 of 2

Description du poste

Mission Statement and position Summary:
The Compliance Department of CACIB Americas is seeking an experienced candidate to serve as the Head of Regulatory Watch-Change, Capital Markets Specialist. The candidate will be responsible for animating the regulatory watch performed by the Compliance department on topics related to the Capital Markets activities, providing analysis and advices regarding the impacts of new or amended laws, rules and regulations and their translation into the Department’s Policies and Procedures. The candidate will work closely with all the teams of the Compliance department, and other teams within the bank. The candidate is an attorney with experience both with the laws, rules and regulations applicable to broker dealers, swap dealers and more to capital market activities in the US, and preparing and advising on associated compliance policies and procedures and control framework.
Key Responsibilities:
  • Under the supervision of the Head of Transversal Compliance, in charge of the regulatory watch on capital market activities performed by the Compliance Department of CACIB and to work closely with the heads of teams of the Compliance Department and the first line of defence on their perimeter.
  • Maintenance and update of the inventory of Laws, Rules and Regulations related to Capital Market activities applicable to CACIB US entities and activities used to perform the Compliance Risk Assessment,
  • Preparing, updating and reviewing Policies and Procedures.
  • Participating in the preparation of the communication on the evolution of the regulatory environment and its impacts to the senior management and the bank’s governance committees.
  • Ensuring that the evolution of laws, rules and regulations in its perimeter are properly taken into account by the Compliance department, but also the other teams impacted within the organization.
  • Participate to industry forums and represent the Bank and the Compliance Department to industry working group on regulatory affairs related to Capital Markets activities
  • Manage the team in charge of Regulatory Watch

Salary range: $250,000 - $290,000

    Critères de candidature
      Niveau d'étude minimum

      Bac + 5 / M2 et plus

      Formation / Spécialisation
      • Master's degree or JD.
      - Minimum 12 to 15 years of experience in a regulatory agency, a comparable banking organization or law firm working on Capital Markets regulatory topics.- The individual should be familiar with institutional foreign banking organizations operating within the US, Broker Dealer legal and regulatory framework and have an experience with the requirements for Swap Dealers, including direct interaction with regulators. The individual must also be capable of effectively communicating with executives and colleagues across various lines of business and throughout a global Compliance organization.- Extensive experience at a senior level with a financial institution or regulator.
      Niveau d'expérience minimum

      11 ans et plus

      Soft skills

      Essential- US Markets regulations (SEC/FINRA, Dodd Frank Act, Swap Dealer requirements),- Strong analytical and communication skills required as well as the ability to work autonomously and to cooperate/work effectively across all disciplines in the bank. - Capable of leading multiple, simultaneous and various ad-hoc requests- Strong intellect with consistent application of analytical skills and a capacity to translate technical and complex issues in a straightforward manner for broader audiences- Result oriented: setting goals and priorities that maximize the use of resources available to consistently deliver quality results.- Knowledge of and experience in the main activities of corporate and investment banking services such as debt and equity capital markets, merger and acquisitions services, derivatives and secondary markets, etc.- Technical rigor and attention to detail coupled with good presentation skills that demonstrate the practical implications of issues.Working knowledge of all Capital Markets products, including Foreign Exchange, Interest Rate Derivatives, and Fixed Income Securities Desirable-Knowledge and previous experience on US banking rules and regulations is a plus

    Entreprise Crédit Agricole CIB
    A propos de Crédit Agricole Corporate and Investment Bank (Crédit Agricole CIB) Crédit Agricole CIB est la banque de financement et d'investissement du groupe Crédit Agricole, 10ème groupe bancaire mondial en taille de bilan 2021 (The Banker, juillet 2022). Près de 8600 collaborateurs répartis dans plus de 30 implantations en Europe, Amériques, Asie-Pacifique, Moyen-Orient et Afrique du Nord, accompagnent les clients de la Banque dans la couverture de leurs besoins financiers à travers le monde. Crédit Agricole CIB propose à ses clients grandes entreprises et institutionnels une gamme de produits et services dans les métiers de la banque de marchés, de la banque d'investissement, des financements structurés, de la banque commerciale et du commerce international. Pionnier dans le domaine de la finance Climat, la Banque occupe aujourd'hui une position de leader sur ce segment avec une offre complète pour l'ensemble de ses clients. Pour plus d'information : www.ca-cib.fr Twitter: https://twitter.com/ca_cib LinkedIn: https://www.linkedin.com/company/credit-agricole-cib/

> Banque de proximité en France et à l'international : Crédit Agricole, LCL, Cariparma,.. > Banque en ligne : BforBank > Gestion de l'épargne : Crédit Agricole Assurances, Amundi, CACEIS, Crédit Agricole Private Banking > Banque de Financement et ...

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DATE POSTED
July 29, 2023

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