Director - Compliance Coordination and Regulatory Affairs
Crédit Agricole SA, New York, NY, United States
Director - Compliance Coordination and Regulatory Affairs
Job Summary
Summary: The Regulatory and Assurance team is an independent team within CACIB Americas CPL reporting directly to the CACIB Americas Chief Compliance Officer. This team has a number of different functions, but its primary functions are the management of interactions with US Regulators, management of compliance projects, tracking and reporting of issues, quality assurance, regulatory watch and support to regulatory changes, compliance communication, and regulatory coordination.
Responsibilities
Regulatory Engagement & Examination Management
Serve as Compliance primary point of contact for U.S. regulatory agencies during examinations, inquiries, and ongoing supervisory activities;
Coordinate and manage end-to-end regulatory examinations, including preparation, document production, regulatory meetings, and remediation efforts;
Develop and maintain examination response protocols and methodology;
Track and manage regulatory requests to ensure timely, accurate, and complete responses;
Review and challenge regulatory deliverables;
Support regulatory inquiries and examinations in the Americas and across business lines as needed;
Internal Audit Coordination
Partner with Internal Audit to coordinate compliance-related audit reviews;
Manage audit response processes, including deliverables validation and review;
Strategic Project Leadership
Lead and contribute to high-priority compliance projects and department-wide initiatives;
Collaborate with cross-functional teams to implement compliance program enhancements;
Drive process improvements and automation opportunities within the compliance function;
Stakeholder Management
Build and maintain productive relationships with regulatory agencies;
Partner with other divisions (business lines/support functions) on compliance matters;
Provide regular updates to senior leadership on regulatory developments and examination status.
Experience
Minimum 10+ years of Compliance experience in financial services
5+ years managing regulatory examinations and relationships with U.S. prudential regulators (Federal Reserve, NYDFS, OCC)
Experience in international context
Strong Regulatory Compliance background
Knowledge/ Experience working in a Combined US Operations (CUSO organization)
Experience in Regulatory Remediation Project Management
Required Skills
Knowledge of U.S. regulatory framework and main standards for Foreign Banking Organizations
Strong understanding of U.S. regulatory expectations, in particular for examinations.
Analytical capability: able to break down complex problems into simple manageable units
Result oriented
Excellent verbal, writing and presentation skills with the ability to interact with stakeholders at all levels within the organization and be able to relay complex technical concepts to a non-technical audience
Strong interpersonal effectiveness
Proactive in managing workload and prioritizing tasks, confident in taking responsibility and resolving problems
Technical rigor and attention to detail
Patience and tenacity to obtain results that can be clearly evidenced
Capacity to voice opinions in order to review and challenge deliverables and bring them to the adequate quality standards
Knowledge of capital markets regulation and experience with examination by capital markets regulators (SEC, CFTC, FINRA, NFA)
Strong interpersonal skills
Strong initiative
Team oriented
Quick strategic thinker
Fast learner
Ability to remain calm under pressure
Ability to look for solutions in complex environments
Organized and able to handle large volumes of work in an efficient and timely manner
Strong analytical, problem-solving and organizational skills
Education
Bachelor degree / BSc degree or equivalent
Advanced degree (JD, MBA, or relevant Master’s) desirable
Location America, United States Of America
Salary Salary Range: $190k-$240k
EEO Statement All our jobs are open to people with disabilities. We welcome applications from candidates of all backgrounds and experiences.
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Responsibilities
Regulatory Engagement & Examination Management
Serve as Compliance primary point of contact for U.S. regulatory agencies during examinations, inquiries, and ongoing supervisory activities;
Coordinate and manage end-to-end regulatory examinations, including preparation, document production, regulatory meetings, and remediation efforts;
Develop and maintain examination response protocols and methodology;
Track and manage regulatory requests to ensure timely, accurate, and complete responses;
Review and challenge regulatory deliverables;
Support regulatory inquiries and examinations in the Americas and across business lines as needed;
Internal Audit Coordination
Partner with Internal Audit to coordinate compliance-related audit reviews;
Manage audit response processes, including deliverables validation and review;
Strategic Project Leadership
Lead and contribute to high-priority compliance projects and department-wide initiatives;
Collaborate with cross-functional teams to implement compliance program enhancements;
Drive process improvements and automation opportunities within the compliance function;
Stakeholder Management
Build and maintain productive relationships with regulatory agencies;
Partner with other divisions (business lines/support functions) on compliance matters;
Provide regular updates to senior leadership on regulatory developments and examination status.
Experience
Minimum 10+ years of Compliance experience in financial services
5+ years managing regulatory examinations and relationships with U.S. prudential regulators (Federal Reserve, NYDFS, OCC)
Experience in international context
Strong Regulatory Compliance background
Knowledge/ Experience working in a Combined US Operations (CUSO organization)
Experience in Regulatory Remediation Project Management
Required Skills
Knowledge of U.S. regulatory framework and main standards for Foreign Banking Organizations
Strong understanding of U.S. regulatory expectations, in particular for examinations.
Analytical capability: able to break down complex problems into simple manageable units
Result oriented
Excellent verbal, writing and presentation skills with the ability to interact with stakeholders at all levels within the organization and be able to relay complex technical concepts to a non-technical audience
Strong interpersonal effectiveness
Proactive in managing workload and prioritizing tasks, confident in taking responsibility and resolving problems
Technical rigor and attention to detail
Patience and tenacity to obtain results that can be clearly evidenced
Capacity to voice opinions in order to review and challenge deliverables and bring them to the adequate quality standards
Knowledge of capital markets regulation and experience with examination by capital markets regulators (SEC, CFTC, FINRA, NFA)
Strong interpersonal skills
Strong initiative
Team oriented
Quick strategic thinker
Fast learner
Ability to remain calm under pressure
Ability to look for solutions in complex environments
Organized and able to handle large volumes of work in an efficient and timely manner
Strong analytical, problem-solving and organizational skills
Education
Bachelor degree / BSc degree or equivalent
Advanced degree (JD, MBA, or relevant Master’s) desirable
Location America, United States Of America
Salary Salary Range: $190k-$240k
EEO Statement All our jobs are open to people with disabilities. We welcome applications from candidates of all backgrounds and experiences.
#J-18808-Ljbffr