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
...backwards from the customer to meet demand. (2) Global Specialty Recruiting (GSR) - This team hires academics, executives, principal... ...team supports and innovates for the executives' profiles across Amazon through the entire employee lifecycle (e.g., onboarding, development...
...Sales Engineer Live events create memories that last a lifetime-concerts, sporting events, festivals, and more. Behind the fun, there's an entire industry dedicated to helping companies build relationships, strengthen partnerships, and connect with clients through...
...Duties Respond to the scenes of crimes, fires and accidents and determine the best methods to employ for criminal investigation. Perform all techniques required to document a crime scene including digital photography, videography, forensic mapping, sketching...
Summary: Are you looking for full-time work?! Our client, a food manufacturer in the Columbus, WI area is hiring for 1st shift production team members. This is an entry level position and requires no prior experience. You will be molding, inspecting, and bagging frozen...
..., were involved. If you want to make an impact on a global scale, come make a difference at Fiserv. Job Title Major Incident Management Workload Coordinator About your role: We are seeking a detail-oriented and proactive Major Incident Management Workload...