Compliance Officer – Broker-Dealer Jobs

Poste et missions

The salary range for this position will be between $242,000 - $275,000. 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.

• Provide day-to-day advice on rules and regulations, compliance policies and procedures
• Serve as a point person on FINRA and/or SEC inquiries and examinations of the Broker-Dealer, working closely with Regulatory Project Management Office and other key stakeholders
• Contribute actively as a member of the Broker-Dealer Operating Committee
• Contribute to qualitative and quantitative monthly and quarterly Compliance reporting, as well as CIB Americas Compliance Committee
• Manage and/or contribute to Compliance oversight of financial and operational processes subject to FINRA rules, including but not limited to reserve formula computation process, customer account statements and confirmations, transaction reporting, order routing and execution.
• Drive implementation of local regulatory change/remediation projects and initiatives
• Work closely with Operations, Finance and GM and IB Business Management to enhance the supervision, compliance, and control framework as well as governance of the broker-dealer businesses
• Support compliance monitoring, surveillance, and controls routines

Profil et compétences requises

• Strong attention to detail, balanced with a strong focus on execution and results
• Bachelor’s Degree
• Team player who is able to collaborate effectively with key local and global stakeholders
• FinOp experience a plus, but not required
• 10 + years industry experience covering institutional broker-dealer activities, preferably at a foreign investment bank
• Highly motivated, proactive individual who has demonstrated ability to take initiative, identify issues, propose solutions, and implement change
• Self-starter, able to work in a fast-paced, results-driven environment with the ability to multi-task, adapt to shifting priorities, and work both independently and effectively in a team setting
• Series 7 & 24
• J.D. preferred, but not required
• Strong analytical, writing and presentation skills