Job Description

Summary:

The Head of Monitoring and Surveillance Americas will oversee the electronic and voice communications of the Firm’s employees, in addition to trade surveillance review. The Head of Monitoring and Surveillance will also be responsible for managing controls on specified activities as well as overseeing the Firm’s data loss prevention compliance framework. The individual will also be the key partner to GMD and other supporting partners on matters related to monitoring and surveillance activities. The individual will also act as the key liaison with various U.S. regulators on regulatory exams as well as inquiries.

Key Responsibilities:

- Lead and manage the E-Communications, Voice-Communications, and Trade Surveillance programs for Credit Agricole Americas, including the development, maintenance, and enforcement of policies, procedures and controls.

- Oversee the development and implementation of monitoring and testing routines relating to Capital Markets rules and regulations.

- Direct and manage escalations of data loss alerts to ensure adequate review and disposition.

- Direct the Monitoring & Surveillance review team, ensuring effective risk identification, escalation, and resolution.

- Oversee the handling of escalated alerts, working closely with line of business supervisors and compliance team as necessary to address potential issues in alignment with regulatory requirements.

- Enhance surveillance and data loss prevention trainings by providing subject matter expertise to the central compliance training team for continuous program development.

- Develop and maintain meaningful management information system and performance metrics to track program effectiveness and escalate key findings as needed.

- Lead system implementations and enhancements, ensuring surveillance and data loss prevention technology solutions are optimized, compliant with regulatory expectations, and aligned with industry best practices.

- Collaborate with IT and Project teams to design, implement, and refine models supporting surveillance and data loss prevention.

- Define and report Key Risk Indications (KRI) and Key Performance Indicators (KPI) to compliance management committees, highlighting key risks and trends.

- Act as a trusted liaison between the Americas Compliance function and key internal stakeholders, including Head Office, Business Unit Leadership, and other support functions.

Management and Reporting:

The Head of Monitoring & Surveillance Americas will report to Global Markets Regulatory Compliance Americas.

Key Internal contacts:

• All business units;
• IT Department;
• Legal department;
• Audit department;
• Risk departments; and
• Operations departments.

Key External contacts:

The Firm’s regulators, including but not limited to FINRA, SEC, NFA, and CFTC.

Education Essential:

Bachelor’s Degree

Education Desirable:

Advanced degree or relevant certifications preferred

Experience Essential:

Minimum 12 years of experience in the financial industry, with a strong focus on compliance, surveillance, monitoring and controls.

Specialist Training Essential:

Series 7, 24 and NFA SPR (or ability to obtain within the first year of employment)

Competencies Essential:

• Advanced knowledge of the U.S. Swap Dealer regulatory framework, specifically CFTC and NFA rules and regulations
• Proven leadership experience managing compliance teams and developing surveillance and monitoring programs.
• Strong analytical and critical thinking skills, with the ability to assess, escalate, and mitigate compliance risks.
• Detail-oriented, ensuring all staff and communications are monitored effectively and aligned with regulatory workflows.
• Experience working with electronic communications surveillance tools (e.g., SHIELD, or similar).
• Excellent verbal and written communication skills, with the ability to influence senior stakeholders and present complex compliance findings.
• Work well in a team environment displaying leadership qualities; strong written and oral communication skills
• Expert with Microsoft Excel, Word and PowerPoint
• Working knowledge of all Fixed Income / Swap Products

Languages

Proficiency in English (both written and verbal)

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