What are the responsibilities and job description for the Global Securities Finance Compliance Officer position at Groupe BPCE?
Poste et missions
CIB Americas Compliance is seeking an experienced Compliance Officer at the ED or MD level to join our dynamic team and support the growth of our Global Securities Finance compliance initiatives. This role will focus on ensuring compliance within our Global Securities Finance desk, which includes synthetic prime brokerage activities, repos, securities lending, collateral upgrade trades, and Total Return Swap (TRS) trading.
Key Responsibilities :
- Act as the primary Compliance Officer for the Global Securities Finance desk, providing expert guidance on compliance with SEC regulations and industry best practices.
- Collaborate with senior management to enhance governance and compliance frameworks, specifically related to Global Securities Finance activities.
- Lead the management of regulatory inquiries, examinations, and relationships with FINRA and the SEC as they pertain to Global Securities Finance.
- Develop and implement compliance initiatives and controls tailored to the Global Securities Finance environment, ensuring adherence to relevant regulations and internal policies.
- Serve as the compliance subject matter expert for securities lending, repo products, and synthetic prime brokerage, ensuring alignment with SEC Rules 15c3-3 and 15a-6.
- Oversee compliance processes, including transaction reporting, best execution, complaints handling, and chat room procedures related to Global Securities Finance.
- Contribute to New Product Committees, collaborating with business management to ensure new business activities comply with regulatory requirements.
- Conduct comprehensive risk assessments for Global Securities Finance activities, including General Compliance Risk Assessments and specialized evaluations.
- Coordinate with other Compliance teams and the Regulatory Affairs Department to ensure cohesive compliance strategies across the organization.
The salary range for this position will be between $300,000 - $350,000. 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
Series 7 and 24 licenses or the ability to obtain them promptly upon employment.
Bachelor's Degree; J.D. preferred but not required.
Minimum of 15 years of relevant industry experience, showcasing leadership and strategic impact.
In-depth expertise in FINRA and SEC regulations, particularly in the context of securities financing and derivatives.
Proven ability to analyze and interpret complex regulatory issues, with a strong understanding of compliance challenges specific to Global Securities Finance.
Excellent analytical and writing skills, with the ability to communicate complex regulatory matters effectively to diverse stakeholders.
A proactive and dynamic leader who thrives in a fast-paced, results-driven environment, with strong multitasking and collaboration skills.
Salary : $300,000 - $350,000
