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 of 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.

Education Essential

• Bachelor or Master degree

Education Desirable:

• Advanced degree (JD, MBA, or relevant Master's)

Experience Essential

• 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

Experience Desirable

• Knowledge/ Experience working in a Combined US Operations (CUSO organization)
• Experience in Regulatory Remediation Project Management

Skills & Knowledge Essential

• 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
• Strong cooperation skills
• 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

Skills & Knowledge Desirable

• Knowledge of capital markets regulation and experience with examination by capital markets regulators (SEC, CFTC, FINRA, NFA)

Competencies Essential

• Strong interpersonal skills
• Strong initiative
• Team oriented
• Excellent communication skills
• 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