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Investment Banking and Regulatory Compliance Officer – Director at Crédit Agricole Group
London, United Kingdom
Job Descrption
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The Conflicts Management Group (“CMG”) in the Americas is responsible for the regulatory advisory function and the management of conflicts of interest, MNPI, and the proper functioning of information barriers. It is part of the Global CMG function within the Investment & Corporate Banking Regulatory Compliance (“ICBRC”) group for CACIB worldwide. The candidate should have a clear understanding of the various businesses that constitute the investment bank. The focus of the role will be providing advisory to various private-side businesses, managing conflicts of interest, and execution of control room-related controls.
Primary Responsibilities
• Provide support and back-up to the Head of ICBRC for the Americas in all respects, including supervision of employees and advisory to senior bank personnel.
• 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.
• Provide advice to the business areas on transactions from a conflicts management standpoint.
• Review conflicts of interest that may arise from business dealings of the organization and administer the global conflicts policies for our Americas activities in conjunction with the Global CMG function of CACIB worldwide.
• Determine where conflicts arise in the business areas and establish the correct protective barriers to prevent the misuse of confidential and/or inside information.
• Maintain the conflicts database by ensuring all conflicts are properly captured in the system.
• Maintain close coordination with the conflicts clearance function of the Global CMG, keeping all CMG members fully aware of proceedings in the Americas and serve as a backup location whenever necessary.
• Maintain and update the US conflicts policies and procedures to ensure they are in agreement with Global policies as well as US laws and regulations concerning the topic.
• Train business units on conflict management, control room, investment banking and financing advisory topics.
• Maintain the information barriers that prevent the misuse of material non-public information in the organization.
• Manage wall-crossings, insider lists, and staff above the wall lists.
• Review conflicts of interest relating to outside business activities, personal trading, and data transfers.
• Assist with ad hoc investigations.
• Provide responses to regulatory and audit inquiries.
Secondary Responsibilities
• Support the employee trade monitoring function as well as offer advice on the related policies and practices.
• Train the various business units on conflict management issues as well as the concepts of insider trading and material non-public information.
• Conduct surveillance to support the firm’s MNPI and information barrier policies.
Salary Range: $170,000-$210,000
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Investment Banking and Regulatory Compliance Officer – Director at Crédit Agricole Group
London, United Kingdom