Investment Banking and Regulatory Compliance Officer – Director

Summary: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 on execution of control room-related tasks, advisory to the various businesses, focusing on the private side, reporting, monitoring Compliance and business controls, and the execution of Compliance controls.Primary Responsibilities:Maintain the information barriers that prevent the misuse of material non-public information in the organization.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.Provide advice and regulatory guidance to the private side of the bank and to the public side regarding control room-related issues.Provide general advisory services in connection with investment banking & financing activities.Provide advice to the business areas on transactions from a conflicts management standpoint.Advise on information barriers, including physical premises.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.Manage wall-crossings, insider lists, and staff above the wall lists.Train business units on conflict management, control room, investment banking, and financing advisory topics.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 #J-18808-Ljbffr