Director, Global Market Regulatory Compliance Registration - Credit Agricole : Job Details

Summary

Director is responsible for overseeing and executing activities for FINRA Broker Dealer and Swap Dealer registrations and advising the Business Units and supports on FINRA Registration and Swap Dealer registrations required based on covered activities. This person will also be responsible for maintaining and monitoring adherence to the firms compliance program and priorities.

Key Responsibilities

Assist personnel in filing the FINRA U4, Non-Registered Fingerprint and Swap Associated Person designations

Maintain entity level registration form pertaining to the Broker Dealer (i.e., Form BD and Form BR) and to the Swap Dealer

Maintain personnel registration records in internal systems including exam dates and completion status

Complete Compliance new hire and termination tasks for the Broker Dealer and Swap Dealer including processing the Form U5

Process pre-hire regulatory checks to validate employee history and disclosures

Facilitate the fingerprinting process in coordination with external vendor and order study materials for securities qualification exams

Monitor the completion of the FINRA Regulatory Element Continuing Education (CE) and produce key metrics and escalate to Supervisor

Identify and recommend necessary changes to enhance Registration processes (e.g., automation)

Respond to regulatory and internal inquiries and advise on regulatory registrations and designation required based on covered activities

Assist in preparing for and coordinating internal audit and regulatory exams

Management and Reporting

Director in GMRC Registration team will report directly to the Head of Global Markets Regulatory Compliance Advisory in Americas.

Key Internal contacts

o Human Resources Department

o Operations Department (GSP)

o Legal Department;

o Audit Department;

o Information Technology Department

o Risk Department

Key External contacts

The Firms regulators, including but not limited to SEC, FINRA, NFA, CFTC, MSRB, other SROs and the different states