Advisory Compliance Officer – Rates and FX

Poste et missions

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.

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 compétences requises

• 
  Bachelor’s degree; J.D. helpful, but not required.
• Minimum 10 years of relevant industry experience.
• Demonstrated ability to analyze new and existing rules and regulations and understand the compliance issues involved with Rates and FX products.
• Strong analytical and writing skills, with the ability to present and articulate ideas clearly.
• Highly motivated, proactive individual who has demonstrated the ability to take initiative, identify issues, propose solutions, and implement change.
• Strong attention to detail, balanced with a strong inclination toward execution and results.
• Self-starter, able to work in a fast-paced, results-driven environment with the ability to multitask, adapt to shifting priorities, and work both independently and effectively in a team setting.
• Excellent Excel and PowerPoint skills.