Director, Head of Governance and Conduct

Summary:

Under the supervision of the Head of Transversal Compliance, the Head of Governance and Conduct will be in charge of maintaining the CACIB US Compliance governance framework (e.g. Charters, Committees, annual staffing assessment, KPI/KRI production, etc.) and managing the Conduct program (e.g. Customer Complaint, Training, risky Behaviour management, Data Leakage Protection, Outside Business Activity & Personal Account Trading).

This position will lead a team to cover all above duties.

Key Responsibilities:

• Supervise the Compliance governance framework;
• Serve as the secretary for Committees managed by CACIB US Compliance and be responsible for the scheduling, charter, presentation decks, minutes, and action follow-up of committee meetings
• Act as Compliance point of contact and respond requests/queries for all other Committees;
• Enhance awareness and adoption of the compliance standards across the Bank;
• Steer design, development, and management of periodic and ad-hoc Compliance reports/dashboards;
• Provide or coordinate US CPL opinion on conduct matters;
• Manage the Bank’s Conduct program:
  • Customer Complaint;
  • Data Leakage Protection (DLP) ;
  • Outside Business Activity;
  • Personal Account Trading (incl. Private Investment);
  • Training (Ensure appropriate training materials development and targeted training provided to help the teams in the Americas to properly address compliance matters);
  • Block leave;
  • Individual breach severity evaluation and management
• Identify opportunities to enhance the above framework;

Salary Range: $190k-$230k

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