Head of Compliance - Crédit Agricole CIB - réf. r33841523

Summary:

Finally, the Head of Compliance CASO will be acting as local regulator(s) point of contact and serve as CASO Data Protection Officer.

Key Responsibilities:

• Lead and implement adequate compliance framework in CASO to ensure any local regulatory requirements are met including but not limited to:

Bill 101: Charter of the French Program

• Provide tracking, status updates and related reporting on the various on-going initiatives to local and US managements

• Serve as the CASO data protection officer
• Manage relationship with the OQLF (Office québécois de la langue française)
• Work closely with the relevant subject matter experts to improve CASO compliance team efficiency
• Manage local CASO compliance team

• Maintain an updated set of Compliance policies and procedures for CASO and oversee policy development with the expert Compliance Managers, as required to address CA regulators' requirement
• Maintain the regulatory risk matrix for CASO, incorporating applicable province and State regulations, and aligning applicable procedures, controls and management reporting
• Monitor evolutions of the regulatory environment and assess potential impact on existing processes and procedures
• Contribute to the US Risk and Control Self-Assessment (RCSA) and related risk mapping

• Prepare and consolidate the contributions of CASO Compliance teams for all the relevant committees including the US Compliance management committee
• Support CPL US hub by preparing contribution for the quarterly CMC
• Serve as the point of contact for various Compliance Reports to be shared in the Region and/or for Local Governance Committees and forums

• Responsible for the ongoing development, implementation and refinement of a comprehensive compliance program in accordance with the Canadian regulatory requirements
• Communicate and implement new regulatory requirements and to affect business and other functions/stakeholders to ensure compliance
• Provide advice on relevant local regulations and internal policies and procedures to internal stakeholders
• Evaluate new products and activities to ensure compliance attention points are identified and addressed
• Knowledge of Quebec or French GDPR/Data protection regulations
• Successful management experience(s) of transversal/cross-area team(s)
• Knowledge of Capital Markets securities products and offerings, policies and procedures and business culture to reconcile regulatory needs with specific product and deliver channel needs
• Working knowledge of the Canada regulatory system and framework and in-depth knowledge of securities regulations
• Working knowledge of Capital Markets products, including both Equity and FICC products
• Successful experience as Data Protection Officer (an asset)
• Successful experiences in Bank internal audit (an asset)