Director, Investment and Corporate Banking Advisory Compliance Officer- Americas (“ICBA”) Job at Crédit Agricole CIB, New York, NY

SEhJZmtWK0d5MWtXMlZtZ29rd3dNWWRCVXc9PQ==
  • Crédit Agricole CIB
  • New York, NY

Job Description

Summary:

The Investment and Corporate Banking Advisory (“ICBA”) Compliance Officer – Americas is responsible for the regulatory advisory function of the investment banking and financing activities. The candidate will be responsible for ensuring adherence to compliance standards and managing risks associated with investment banking and financing activities. The candidate should have a clear understanding of the various businesses within the scope of ICBA.

Primary Responsibilities

  • 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, in coordination the Conflicts Management Group (“CMG”) if necessary
  • Identify and prioritize regulatory and compliance risks associated with investment banking and financing activities.
  • Maintain and update the applicable policies and procedures to ensure they are in agreement with Global policies as well as US laws and regulations concerning the topic.
  • Partner with other Compliance teams, including CMG, Transversal, Financial Security and Capital Markets Compliance on matters related to investment banking and financing activities.
  • Assist in analyzing complex situations and provide guidance for these situations.
  • Assist in responding to regulatory inquiries, audits, examinations and investigations.
  • Evaluate new products and activities to ensure compliance issues are identified and addressed and an appropriate compliance oversight program is implemented, as applicable.

Management and Reporting

The ICBA Compliance Officer reports directly to the Head of Global Markets Regulatory Compliance in the Americas and the Head of ICBRC in Head Office ultimately to the Regional Chief Compliance Officer for the Americas.

Key Internal contacts

  • All investment banking and financing business lines;
  • Legal department;
  • Audit department;
  • Risk departments; and
  • Operations departments.

Key External contacts

The Firm’s regulators, including but not limited to FRB, NYDFS, FINRA, SEC, NFA, and CFTC.

Qualifications/Education Required:

  • Bachelor Degree
  • Graduate Degree or Law Degree preferred

Experience Required:

  • 12+ years of experience in the banking industry in working in the areas of, investment banking and financing activities advisory and/or control room.
  • 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. The candidate should 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 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.

Skills & Knowledge Requirements

  • English: fluent
  • French, Spanish and /or Portuguese is a plus
  • Working knowledge of Investment and Corporate Banking products.

Job Tags

Similar Jobs

Heart to Heart Hospice

Volunteer Coordinator Job at Heart to Heart Hospice

 ...Volunteer Coordinator What You Must Have: Bachelors Degree preferred, or equivalent combination of education, training, and experience Experience in recruitment & management of volunteers, preferred Current driver's license, reliable transportation, and provide... 

Atlantic MEDsearch

Nephrology Job Near Nashville, TN Job at Atlantic MEDsearch

Thriving Nephrology practice seeks to add a new associate. Work in a collegial environment w/2 other Nephrologists & an experienced APP. Clinical responsibilities involve a wide scope of general Nephrology procedures. Experience the benefits of a well-established referral... 

DataCenterStaffing.io

Virtual Assistant Job at DataCenterStaffing.io

Were a growing network of mission-driven platforms reinventing the world of work. At the heart of our efforts is a commitment to removing barriers, empowering talent, and creating systems where workers are not just labor, but owners. Whether through workforce technology...

Oldcastle Infrastructure

Production Manager (PVC/Extrusion) Job at Oldcastle Infrastructure

 ...Job ID: 510956 Exempt Oldcastle Infrastructure, a CRH company, is the leading provider of utility infrastructure solutions for the water, energy, and communications markets throughout North America. Were more than just a manufacturer of precast concrete, polymer... 

Senior Helpers - Seal Beach Los Alamitos

HCA Caregivers Needed Job at Senior Helpers - Seal Beach Los Alamitos

Join Our Award-Winning Team at Senior Helpers North Orange County!Are you looking for a fulfilling career that fits your lifestyle? Senior Helpers North Orange County is seeking compassionate and dedicated caregivers to join our growing team to assist our clients in ...