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Crédit Agricole CIB · 1 day ago

Global Markets Regulatory Compliance Advisory – Americas Director

New York, NY

Full-time

Hybrid

Director/Executive

$180K/yr - $220K/yr

8+ years exp

Crédit Agricole CIB is seeking a Director in the Global Markets Regulatory Compliance Advisory team. This role involves advising on compliance requirements set by U.S. regulators and enhancing the security-based swap dealer program, while collaborating with various stakeholders to ensure compliance and mitigate risks.

BankingFinancial Services

H1B Sponsor Likely

Responsibilities

Responsible for the ongoing development, implementation and refinement of a comprehensive security-based swap dealer compliance program

Coordinate compliance regulatory examinations and participate in the coordination of response to these examinations

Maintain policies and procedures to reasonably ensure compliance with applicable regulatory requirements

Communicate new regulatory requirements simply and efficiently 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

Support the CCO in administering his/her duties to overseeing the Bank’s security-based swap dealer and swap dealer compliance program

Contribute to the preparation of the annual CCO report exercise

Qualification

SEC regulations knowledgeCFTC regulations knowledgeNFA regulations knowledgeCapital Markets knowledgeCompliance program developmentJudgementAnalytical skillsOralExcelPowerPointMicrosoft OfficeIntegrityWritten skillsTeam management

Required

Bachelors Required

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

Experience in managing a small team of compliance officers

NFA SPR (or ability to complete upon employment)

In-depth knowledge of the U.S. regulatory system in general and specifically knowledge of SEC, CFTC and NFA rules and regulations applicable to OTC derivatives

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 CFTC and NFA 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

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

Preferred

JD preferred

Company

Crédit Agricole CIB

Crédit Agricole CIB is the corporate and investment banking arm of Crédit Agricole Group, 9th largest banking group worldwide in terms of balance sheet size in 2023 (The Banker, July 2024).

Founded in 2004

Paris, Ile-de-France, FRA

5001-10000 employees

http://www.ca-cib.com

H1B Sponsorship

Crédit Agricole CIB has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

Distribution of Different Job Fields Receiving Sponsorship

Represents job field similar to this job

Trends of Total Sponsorships

2025 (3)

2024 (6)

2023 (2)

2022 (4)

2021 (2)

2020 (1)