Deputy Head of Investment and Corporate Banking Regulatory Compliance

4 weeks ago

New York, United States Groupe Crédit Agricole Full time

Summary:


The Conflicts Management Group (“CMG”) in the Americas is responsible for the regulatory advisory function and the management of conflicts of interest, MNPI and the proper functioning of information barriers. It is part of the Global CMG function within the Investment & Corporate Banking Regulatory Compliance (“ICBRC”) group for CACIB worldwide. The candidate should have a clear understanding of the various businesses that constitute the investment bank. The focus of the role will be providing advisory to various private-side businesses, managing conflicts of interest and execution of control room-related controls.


Primary Responsibilities

  • Provide support and back-up to the Head of ICBRC for the Americas in all respects, including supervision of employees and advisory to senior bank personnel.
  • Provide general advisory services in connection with investment banking & financing activities.
  • Provide advice and regulatory guidance to the private side of the bank and to the public side regarding control room-related issues.
  • Provide advice to the business areas on transactions from a conflicts management standpoint.
  • Review conflicts of interest that may arise from business dealings of the organization and administer the global conflicts policies for our Americas activities in conjunction with the Global CMG function of CACIB worldwide.
  • Determine where conflicts arise in the business areas and establish the correct protective barriers to prevent the misuse of confidential and/or inside information.
  • Maintain the conflicts database by ensuring all conflicts are properly captured in the system.
  • Maintain close coordination with the conflicts clearance function of the Global CMG, keeping all CMG members fully aware of proceedings in the Americas and serve as a backup location whenever necessary.
  • Maintain and update the US conflicts policies and procedures to ensure they are in agreement with Global policies as well as US laws and regulations concerning the topic.
  • Train business units on conflict management, control room, investment banking and financing advisory topics.
  • Maintain the information barriers that prevent the misuse of material non-public information in the organization.
  • Manage wall-crossings, insider lists and staff above the wall lists.
  • Review conflicts of interest relating to outside business activities, personal trading and data transfers.
  • Assist with ad hoc investigations.
  • Provide responses to regulatory and audit inquiries.


Secondary Responsibilities

Support the employee trade monitoring function as well as offer advice on the related policies and practices. Train the various business units on conflict management issues as well as the concepts of insider trading and material non-public information. Conduct surveillance to support the firm’s MNPI and information barrier policies.


Qualifications/Education Required:

  • Bachelor degree


Experience Required:

  • 12 years of experience in the banking industry in working in the areas of conflicts of interest, investment banking and financing activities advisory and/or control room. Some conflicts experience is required.
  • Experience with international, cross-border topics related to the financial industry.
  • Experience in dealing with U.S. financial industry regulators.


Approved Person Registration

  • FINRA Series SIE, 79, 24, 63 or the ability to obtain these licenses in a timely manner upon joining is required.


Competencies 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 analytical, problem-solving and organizational skills.
  • Capable of handling multiple, simultaneous and various ad-hoc requests.
  • Ability to prioritize and work in a dynamic, deadline-focused environment.
  • Analytical capability: able to break down complex problems into simple manageable units, develops solutions for each unit and integrate them back into the whole.
  • Strong intellect with consistent application of analytical skills and capacity to translate technical and complex issues for broader audiences in a straightforward manner, articulating the key issues facing the group; ability to get up to speed quickly with complex issues.
  • Results-oriented: setting goals and priorities that maximize the use of resources available to consistently deliver quality results.
  • Communication Skills: excellent verbal, writing and presentation skills with the ability to interact with stakeholders at all levels within the organization, in particular with other CMG members worldwide, with the Head of the CMG and the Head of ICBRC, and be able to relay complex technical concepts to non-technical audiences, capacity to steer discussion back to the objectives when needed and ensure respect of the deadlines and commitments.
  • Strong interpersonal effectiveness: is self-aware of their own behavior and work style as well as tolerant of different needs and viewpoints. Demonstrates interest in others opinions and shows consideration, concern and respect for other people feelings.
  • Proactive in managing workload and prioritizing tasks, confident in taking responsibility and resolving problems with strong influencing and negotiating skills, but recognizing the need to work with colleagues and the CMG members worldwide, and to seek guidance if necessary; a hands on approach that extends to taking practical initiatives, as necessary, to move issues forward.
  • Technical rigor and attention to detail coupled with good presentation skills that demonstrate the practical implications of issues.
  • Patience and tenacity to obtain results that can be clearly evidenced.

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