Summary: 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. Management and Reporting The ICBRC Compliance Officer reports directly to the Head of GMRC in the Americas and the Head of ICBRC in Head Office. Key Internal contacts o Coverage, Global Investment Banking (“GIB”), and Global Financing Division (“GFD”) business lines o Legal department o Audit department o Risk departments and o Operations departments. Key External contacts The Firm's regulators, including but not limited to FRB, NYDFS, FINRA, SEC, NFA, and CFTC. 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. Experience handling complex investment banking, corporate banking/ financing activities, and research matters. Experience with international, cross-border topics related to the financial industry. Experience in dealing with U.S. financial industry regulators Bachelor degree required Graduate Degree or Law Degree preferred
...Environmental Engineers in a dynamic hands-on program. Safety: Assist and prepare in giving Tool Box Safety Talks, Daily Safety... ...project look-ahead schedules Qualifications: To Qualify for Internship: Enrolled in Civil Engineering or Construction Management...
...Job Title: 3D Studio Creative Manager Job Location : Remote Job Type: Contract Job description: Lead Strategy Build... ...the creative work from start to finish modeling lighting animating and rendering everything from photoreal product shots to complex...
...Position Weld/Shift Production Lead Job Location Fall River, WI Starting Date Immediate Employment Term Temp-to-Hire Employment Type Full-Time Work Hours (Shift) 2nd Shift (2:30pm 11:00pm) Starting Pay $22-$25/hr Depends on Experience...
...Company Overview Advantage Pro Services is Houston's leading provider of pressure washing, window cleaning andgutter cleaning services. Ourcompanies have been servicing the greater Houston area since 1999 with a focus on the customer experience and providing exceptional...
...contributions are valued and growth, development, and impact are part of every role. Job Summary We are seeking a Clinical Dietitian (FT, PT or PRN-hours) to join our Nutrition Team in an acute care medical center in City, State. Key Responsibilities:...