Natixis Investment Managers · 5 days ago
Compliance Analyst – Registered Investment Advisors
Boston, MA
Full-time
Hybrid
Mid Level
$70K/yr - $90K/yr
3+ years expNatixis Investment Managers is dedicated to client interests and fostering a collaborative culture. The Compliance Analyst - RIA will provide compliance support to the Legal and Compliance Department, manage the Code of Ethics Compliance Program, and ensure adherence to compliance policies and procedures.
Asset ManagementFinancial ServicesImpact Investing
Responsibilities
Provide administrative support to the Code of Ethics program, including creating new employee accounts, providing employee support with respect to personal trading and completing certifications. Monitor and establish new brokerage accounts and troubleshooting issues with the vendor and account feeds
Conduct testing for adherence with various Compliance policies and procedures
Identify potential policy/procedural weaknesses and recommend improvements
Assist in periodic training on policies, trends and regulations related to advisory compliance
Provide supplemental/backup assistance to other Compliance areas as necessary
Compile and submit regulatory filings and disclosures (13f, 13g, ERISA coverage, 15C)
Handle/coordinate annual mailing of ADV and privacy policy to SMA sponsors/clients
Coordinate Responses to annual 15C and Board Material requests
Qualification
Required
Bachelor's degree
Strong interpersonal skills, problem solving and analytical capabilities
Excellent organizational skills and attention to detail
Effective writer with the ability to interact with individuals from all levels of the organization
Ability to work independently and manage multiple priorities concurrently
Flexibility and willingness to assist all areas of Legal & Compliance if circumstances required
Preferred
3+ years of compliance and/or relevant financial service experience
Experience with Microsoft applications, Excel and Power BI viewed favorably
Experience with Compliance Technology or Power BI viewed favorably
FINRA Series 7 & 24 viewed favorably
Benefits
Comprehensive medical, dental and vision insurance
Paid time off
401k plan
Tuition reimbursement
Student loan repayment program
Wellness benefits
Volunteer programs
Company
Natixis Investment Managers
Natixis Investment Managers’ multi-affiliate approach connects clients to the independent thinking and focused expertise of more than 15 active managers.
201-500 employees
Funding
Current Stage
Growth StageLeadership Team
Beatriz Pina Smith
EVP and CFO
Bradley McMillin
Director of Finance | CFO | Mirova US
Recent News
2025-07-01
2025-06-13
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