Head of Investment and Corporate Banking Regulatory Compliance ("ICBRC") Americas – Director 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. Experience and Qualifications 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. FINRA Series SIE, 79, 24, 63 or the ability to obtain these licenses in a timely manner upon joining is 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. English: fluent, French, Spanish and /or Portuguese is a plus Equal Employment Opportunity Crédit Agricole CIB is committed to diversity and inclusion and places people at the heart of all its transformations. All positions are open to people with disabilities. #J-18808-Ljbffr Crédit Agricole SA
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