VP CUSO Regulatory Change Management Officer

Summary

The Compliance Department at Credit Agricole’s Combined US Operations (CUSO) seeks an experienced individual to join the department and report to the CUSO Head of Central Compliance, being responsible for coordinating the Regulatory Watch / Laws Rules and Regulations (“LRRs”) Program across all business lines on behalf of the regional Compliance operations.

The successful candidate should be a self-starter, be able to effectively collaborate within a team setting and possess excellent interpersonal and organizational skills. This is a high-visibility role and will require coordination and proactive outreach to various groups and divisions within Credit Agricole US to collect and communicate information concerning business activities and the potential risks to the bank. The individual will also periodically interact with management, as well as assist in the development of corresponding materials. The role requires an understanding of US bank regulations and corporate compliance program requirements, and ideally, experience in dealing with institutional investment banking and asset management organization.

Key Responsibilities

• Support and lead the execution and oversight of the region-wide CUSO Compliance Regulatory Watch / LRR program.
• Monitor the regulatory changes impacting CUSO and ensuring timely compliance with the on-going effectiveness of the Regulatory Watch Program. Support CUSO efforts to further mature the regulatory change management program over time.
• Support other Compliance teams (such as Monitoring & Testing, Internal Controls, Training, among others) that leverage LRRs and related obligations for their program activities.
• Have responsibility for managing the vendor tool used by CUSO and entities for regulatory change management. Serve as point person managing the relationship with vendor tool representatives and support teams. Manage and ensure timely remediation of open tickets and issues to the vendor.
• Serve as a resource in providing guidance and support to first and second lines of defence on Regulatory Watch and associated processes.
• Prepare and deliver CUSO Regulatory Watch updates for various governance committees and forums.
• Manage Regulatory Watch program-related data (Results, Action Plans, Tracker) and prepare reporting to be shared with Compliance management, Internal Audit, Business Partners and Regulators.
• Maintain and enhance policy and procedure documents in line with regulatory guidance, industry standards.
• Own and manage the regulatory change process – ensuring that CUSO and entities have an established process to manage the impact of new / amended / retired regulations and related obligations.
• Oversee and where needed enhance the Training materials and rollout to in-scope employees. Make enhancements to incorporate methodology changes, industry best practices, lessons learned.
• Compile and produce associated management reporting on applicable regulatory changes.

Basic Qualifications

Qualifications / Education

Experience Required

Specialist Training Required

Competencies Required

Skills & Knowledge Requirements