Job Description

Summary:

The Investment and Corporate Banking Regulatory Compliance (“ICBRC”)– Americas is responsible for the regulatory Advisory function and the CMG function (dedicated to management of conflicts of interest, MNPI and the proper functioning of information barriers). It is part of the Global ICBRC function for CACIB worldwide. The candidate is responsible for overseeing and enforcing information barriers, managing conflicts of interest, ensuring regulatory compliance, and upholding the integrity of the Firm’s Private Side and Investment Research activities. The role requires strategic leadership, regulatory expertise, and collaboration with senior business and compliance leaders.

Primary Responsibilities

• Provide senior level regulatory advice and guidance on all aspects of control room matters, including conflicts of interest, investment banking, corporate banking/financing activities, investment research, and information barrier frameworks
• Ensure effective management of real or perceived conflicts arising from the Firm’s client global engagements in coordination with the CMG global function
• Oversee the Firm’s conflicts management framework in coordination with the CMG global function, ensuring the identification, assessment, and mitigation of potential conflicts of interest.
• Manage deal review processes, ensuring appropriate governance over client commitments that could result in conflicts between clients or employees.
• Ensure compliance with regulations governing investment research, including independence, disclosure, and conflicts management.
• Represent ICBRC on key global management and oversight committees.
• Oversee best practices and policy development across ICBRC policies & procedures
• Act as the key relationship manager with senior business leaders, providing advisory support on complex regulatory and conflicts matters
• Stay abreast of emerging regulatory trends, advising senior leadership on strategic responses to new compliance requirements.

Management and Reporting

The ICBRC Compliance Officer reports directly to the Head of GMRC in the Americas and the Head of ICBRC in Head Office.

Key Internal contacts

• Coverage, Global Investment Banking (“GIB”), and Global Financing Division (“GFD”) 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:

• 15 + years of experience in control room, investment research and investment banking compliance including M&A, Equity Capital Markets.
• Experience with global research rules, their application and the research settlement.
• Strong understanding of corporate banking/financing, investment banking and research operations across multiple regions.
• Experience handling complex investment banking, corporate banking/ financing activities, and research matters.
• 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 ability to communicate regulatory matters effectively to key stakeholders.

Skills & Knowledge Requirements

• English: fluent
• French, Spanish and /or Portuguese is a plus

Job Tags

Similar Jobs