Compliance Regulatory Manager
il y a 1 jour
The Conflicts Management Group (CMG) in the Americas is responsible for providing regulatory advisory services and managing conflicts of interest, material non-public information (MNPI), and information barriers. As a key member of the Global CMG function within the Investment & Corporate Banking Regulatory Compliance (ICBRC) group for Crédit Agricole Group worldwide, the successful candidate will have a clear understanding of the various businesses that constitute the investment bank.
Key Responsibilities- Provide support and backup to the Head of ICBRC for the Americas, including supervision of employees and advisory services to senior bank personnel.
- Offer general advisory services in connection with investment banking and financing activities.
- Provide regulatory guidance to the private side of the bank and the public side regarding control room-related issues.
- Advise business areas on transactions from a conflicts management standpoint.
- Review conflicts of interest that may arise from business dealings and administer global conflicts policies for Americas activities in conjunction with the Global CMG function.
- Determine where conflicts arise and establish protective barriers to prevent misuse of confidential and/or inside information.
- Maintain the conflicts database and ensure all conflicts are properly captured in the system.
- Coordinate with the conflicts clearance function of the Global CMG and serve as a backup location when necessary.
- Update US conflicts policies and procedures to ensure they align with Global policies and US laws and regulations.
- Train business units on conflict management, control room, investment banking, and financing advisory topics.
- Maintain information barriers to prevent misuse of MNPI.
- Manage wall-crossings, insider lists, and staff above the wall lists.
- Review conflicts of interest related to outside business activities, personal trading, and data transfers.
- Assist with ad hoc investigations and provide responses to regulatory and audit inquiries.
- Support employee trade monitoring and offer advice on related policies and practices.
- Train business units on conflict management issues and insider trading concepts.
- Conduct surveillance to support MNPI and information barrier policies.
A strong understanding of the investment banking industry and regulatory requirements is essential for this role. The successful candidate will have excellent communication and interpersonal skills, with the ability to work effectively in a team environment.
The salary range for this position is $170,000-$210,000.
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