Global Markets Regulatory Compliance Advisory - Americas
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About The Position
The Global Markets Regulatory Compliance (GMRC) Advisory - Americas Director is a pivotal role within Crédit Agricole CIB, responsible for providing expert advice on Swap Dealer and Broker Dealer regulations, including the global implications of relevant U.S. regulations. This position requires a deep understanding of compliance frameworks and the ability to communicate complex regulatory requirements to various internal stakeholders, including trading and sales personnel, as well as key support functions. The Director will lead the ongoing development, implementation, and refinement of a comprehensive compliance program that aligns with industry best practices and minimizes regulatory risks. In this role, the Director will coordinate compliance regulatory examinations and actively participate in the response to these examinations. This includes maintaining policies and procedures that ensure compliance with applicable regulatory requirements. The Director will also assess the inherent risks associated with business units and evaluate the effectiveness of mitigating controls to minimize residual risks, including reputational damage and regulatory consequences. A significant aspect of the role involves designing, implementing, and maintaining compliance systems that ensure consistency in achieving compliance objectives. The Director will provide guidance on relevant regulations and internal policies to internal stakeholders, ensuring that compliance issues are identified and addressed, particularly when evaluating new products and activities. Key internal contacts will include all Global Markets Division (GMD) business units, the legal department, audit department, risk departments, and operations departments. Externally, the Director will liaise with the firm's regulators, including but not limited to FINRA, SEC, NFA, and CFTC, ensuring that the firm adheres to all regulatory requirements and maintains a strong compliance posture.
