CDI

Capital Markets Regulatory Affairs

Publiée le 23/06/2022

  • NEW YORK - Etats-Unis d'Amérique
  • Conformité / Sécurité financière

Description du poste

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.

 

Key Responsibilities:

 

-       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

    • Niveau d'étude minimum
    • Bac + 5 / M2 et plus
    • Formation / Spécialisation
    • -       Master Degree or JD. -       Extensive experience at a senior level with a financial institution or regulator.
      -       Minimum 8 to 10 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.
    • Niveau d'expérience minimum
    • 6 - 10 ans
    • 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-Must be completely fluent in English (written and spoken)Desirable-Knowledge and previous experience on US banking rules and regulations is a plus-French desirable
  • 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, 12e groupe bancaire mondial par les fonds propres Tier1 (The Banker, juillet 2021). Près de 8600 collaborateurs en Europe, Amériques, Asie-Pacifique, Moyen-Orient et Afrique, 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/

Crédit Agricole CIB
Crédit Agricole CIB
Crédit Agricole CIB

Crédit Agricole CIB

Capital Markets Regulatory Affairs

Publiée le 23/06/2022

CDI
  • NEW YORK - Etats-Unis d'Amérique
  • Conformité / Sécurité financière
  • 2022-69810
Rejoignez
-nous

Nos avantages

Une grande variété de métiers
Une grande variété de métiers

Que vous soyez étudiant, jeune diplômé ou expérimenté, nous vous offrons un environnement de travail stimulant dans lequel vous pourrez développer de nombreuses expertises.

Un environnement international
Un environnement international

Nous sommes implantés dans plus de 30 pays à travers le monde et rassemblons plus de 100 nationalités. La dimension internationale de nos activités et la diversité des profils de nos collaborateurs font notre richesse.

Des positions de leadership
Des positions de leadership

L’excellence de nos spécialistes est reconnue dans de nombreux domaines en France comme à l’international. Nous rejoindre, c’est intégrer un réseau mondial d’expertises parmi les plus pointues du marché.

- 1er financeur de l’aéronautique

- 1er émetteur de Green Bonds

Une stratégie de gestion de carrière
Une stratégie de gestion de carrière

Nous faisons de la gestion de carrière de nos collaborateurs une priorité. Formation, mobilité, gestion des talents, nos politiques sont au service de votre potentiel.

Des équipes engagées et responsables
Des équipes engagées et responsables

L’engagement de nos collaborateurs est résolument tourné vers nos clients pour le développement d’une économie durable. La lutte contre le réchauffement climatique constitue l’un des axes majeurs de notre politique RSE.

Ces offres pourraient vous intéresser !