Managing Director, Head of Regulatory and Assurance

Summary : The Compliance Regulatory and Assurance (CPL RA) team is a recently established Center of Excellence within the CACIB Compliance Function reporting directly to the Chief Compliance Officer (CCO).

The CPL RA team provides strategic and centralized management of the supervisory activities of the Firm's regulators and related developments, focusing on regulatory reviews and examinations and continuous monitoring activities.

CPL RA serves as the central point of contact with key supervisory regulators globally to facilitate open, cooperative and constructive relationships provides advice and guidance on regulatory interactions and engagement oversees responses to and commitments made to regulators and apprises Senior Management and relevant governance bodies and stakeholders of these matters and related significant regulatory developments.

The CPL RA team is comprised of four coverage areas : Project Management, Regulatory Coordination, Regulatory Watch, and Assurance.

• Project Management - lead projects / initiatives initiated by Compliance and assigned by the CACIB Americas CCO.This requires coordination with various parties including the Project Sponsor, Project Owner, and Project Stake holders.
• Assurance - Provide an independent review / assessment of CACIB US CPL Recommendation Closure Memos covering all issues including Regulatory, Audit, and Model Reviews.

Discusses the Recommendation Closure Memo with Compliance senior management for approval and addresses any comments / questions.

• Regulatory Watch - responsible for coordinating and performing regulatory watch and regulatory change management in the context of compliance risks as defined in the CACIB US Compliance Risk Management Program.
• Regulatory Coordination - coordinate the exams conducted by Prudential and Capital Market Regulators as well as the Continuous Monitoring / regulatory progress updates related to Compliance.

Key Responsibilities : The Head of Regulatory and Assurance is mainly responsible for· Supervising the Regulatory and Assurance team's activities of all aspects via various measures including KPIs and MIS reporting and ensuring the high productivity and good performance of the team· Directing and providing guidance for all aspects of regulatory examinations by the FRB, DFS, SEC, CFTC, FINRA, NFA, state regulators and exchanges· Providing advice and directing the Firm's formal response to regulatory findings and assisting in the coordination of any remediation· Managing and guiding regulatory communications covering the regulatory achievements, remediation progression· Communicating with key stakeholders, including senior management in CPL, business and risk regarding exam status and potential findings#LI-DNIAt least 15 years of professional experience in the banking industry, focusing on Regulatory Affair, Compliance, Risks, Project Management, Internal Audit, etc.

Experience in managing regulatory exams and relationships with examiners and auditorsExtensive knowledge of appropriate regulatory requirements including local and US laws, international and industry standardDirect experience with regulators preferred, such as FRB, DFS, SEC, CFTC, NFA, FINRAExperience in dealing with US banking regulators preferredExperience in regulatory project managementRequired : Bachelor DegreePreferred : Master's degree or JD...