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Natixis Corporate & Investment Banking · 5 days ago

Compliance Officer- Global Markets and Investment Banking

New York, NY

Full-time

Onsite

Mid, Senior Level

$160K/yr - $200K/yr

5+ years exp

Natixis Corporate & Investment Banking is seeking a motivated mid-level Compliance Officer to join their Advisory Compliance team. In this role, you will support regulatory compliance across Investment Banking and Global Markets, collaborating with various stakeholders to enhance the compliance framework and ensure adherence to regulations.

Financial Services

Responsibilities

Developing and maintaining compliance policies, procedures, controls, and monitoring routines to adapt to regulatory and business changes

Reviewing new and updated rules and regulations from the SEC, FINRA, and CFTC to assess their relevance to Investment Banking and Global Markets activities

Contributing to new product/new activity (NPNA) opinions while liaising with business management and support functions to ensure compliance with applicable regulatory and internal requirements

Providing day-to-day routine coverage of front office desks to ensure compliance oversight

Drafting responses for FINRA/SEC inquiries and examinations, ensuring timely and accurate submissions

Coordinating with support functions to organize governance forums focused on compliance

Assisting in the preparation of the annual Broker-Dealer Compliance Report and annual disclosure letters, ensuring timely filing of routine regulatory reports

Supporting the implementation of global and local projects and initiatives related to new business, compliance programs, or evolving regulations

Maintaining and tracking the inventory of internal compliance obligations, associated procedures, and controls

Reporting Advisory Compliance metrics to various governance forums to ensure transparency and accountability

Contributing to ongoing enhancements and analyses of cross-border workflows

Supporting the development of engaging online compliance training and presentations

Qualification

Regulatory complianceInvestment Banking knowledgeAnalytical skillsWriting skillsAttention to detailMultitaskingTeam collaborationProblem-solving

Required

Bachelor's Degree required; J.D. preferred but not mandatory

A minimum of 5-7 years of industry experience, preferably in a foreign investment bank

General working knowledge of Financing, Investment Banking, and Global Markets activities

Demonstrated ability to analyze new and existing rules and regulations for their applicability to regulated entities within the CIB Americas platform

Strong analytical and writing skills, with the ability to clearly present and articulate complex information

Proven track record of taking initiative, identifying issues, proposing solutions, and driving change

Exceptional attention to detail, paired with a strong focus on execution and results

Self-starter who thrives in a fast-paced, results-driven environment, with the ability to multitask, adapt to shifting priorities, and work effectively both independently and as part of a team