Director - Compliance Coordination and Regulatory Affairs

Director- Compliance Coordination and Regulatory Affairs 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.

The Director- Compliance Coordination and Regulatory Affairs is a senior role within the Compliance Team responsible for the following functions:

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.

This role requires a seasoned compliance professional with demonstrated experience in managing complex regulatory examinations and interactions while driving operational excellence across the compliance function. It requires strong project management, executive-level communication skills and the ability to be proactive and solutions-oriented in complex environments and time-sensitive missions.

Salary Range $190k-$240k

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