Mission Statement and position Summary:
The Compliance Department of CACIB Americas is seeking an experienced candidate to serve as the Regulatory Affairs, 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 generally speaking to capital market activities in the US, and preparing and advising on associated compliance policies and procedures and control framework.
- Under the supervision of the Head of Regulatory Affairs, 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