What are the responsibilities and job description for the Advisory Compliance Officer - Rates and FX position at Groupe BPCE?
Poste et missions
CIB Americas Compliance seeks a mid / senior-level business line Compliance Officer to cover Global Markets Sales and Trading desks in New York, with a specific focus on Rates products (including Treasuries and interest rate derivatives) and FX. The individual will provide real-time and regulatory compliance coverage to the business units engaged in the sales and trading of Rates and FX products for both market-making and hedging purposes.
The candidate should have a strong understanding of booking models used by foreign bank branches, including the use of remote booking models into non-U.S. jurisdictions, as well as the application of SEC Rule 15a-6 to cross-border securities transactions. The candidate should also possess knowledge of the regulatory framework associated with securities (e.g., TRACE, Treasury market practices, applicable FINRA rules) and derivatives. Familiarity with electronic and algorithmic trading, including electronic execution platforms, would be beneficial as well.
The Compliance Officer will be responsible for providing real-time support to the business, as well as subject matter expertise on the implementation of regulatory projects and initiatives. He / she / they will work with the offshore Trade Surveillance team to resolve alerts escalated for Level 2 review, including visiting desks for explanations as needed. The Advisory Compliance Officer will also be expected to collaborate with Head Office colleagues to contribute to the review and analysis of complex new business products / activities with multi-jurisdictional reach.
Additionally, he / she / they will partner with Compliance Officers covering Equities Sales and Trading business lines and Swap Dealer / Securities Based Swap Dealer.
Duties will include :
- Driving the implementation of global and local projects and initiatives with respect to new business initiatives and / or new or changing regulations while working with the Project Management Office.
- Developing and implementing new compliance processes, including controls and compliance policies and procedures, to support the business.
- Drafting Compliance Opinions for New Product Committees, liaising with business management and support functions to deliver clear guidelines to ensure new business activities operate in compliance with applicable regulatory requirements.
- Working with the Front Office to facilitate compliance risk assessments for the relevant businesses covered and developing tailored action plans for high and critical residual risks.
- Developing and delivering in-person compliance training, as well as content for online training.
- Contributing to qualitative and quantitative monthly and quarterly compliance reporting, as well as presentations for the Compliance Committee.
He / she / they will interact with a wide group of stakeholders locally and globally to support adherence to regulatory, compliance, and risk management priorities and will be expected to lead initiatives as well as build relationships and collaborate with key areas such as Head Office Compliance, Operational Risk, IT, Regulatory Affairs, and Internal Audit.
The salary range for this position will be between $165,000 - $190,000. Natixis is required by law to include a reasonable estimate of the compensation range for this role. Actual base salary will vary and will be based on several factors including, but not limited to, relevant experience, education, skills set, applicable licensure and certifications, and other business and organizational needs. Base salary is only one component of our total rewards package. Natixis also offers a generous benefits package, and you may be eligible for a discretionary incentive award depending on company and individual performance.
Profil et comptences requises
Salary : $165,000 - $190,000
