Poste et missions
Are you a highly skilled compliance professional with a passion for capital markets and a knack for navigating complex regulatory landscapes? The CIB Americas Compliance department at Natixis is a vital strategic partner, providing comprehensive compliance guidance to support the CIB Americas Platform. We pride ourselves on fostering a dynamic, collaborative environment where your expertise will be valued, and your contributions will make a tangible difference.
We’re looking for an enthusiastic Compliance Officer (DIrector or ED level) to join our dedicated team covering the Global Securities Financing desk. In this role, you will be at the forefront of providing compliance guidance on a variety of matters, including equity and equity-linked products, fixed income assets (ranging from U.S. Treasuries to securitized paper), and equity derivatives activities (structured notes, OTC flow, Quantitative Investment Strategy (QIS) origination and marketing). The desks employ both linear and non-linear strategies, referencing U.S. and international assets to facilitate market exposure, hedging of price risk, strategic acquisitions, collateralized financing, or bespoke portfolio solutions. Activities also include equity derivatives (OTC and structured notes), repo, securities lending, options (OTC and listed), convertible bonds, Total Return Swaps (TRS), and futures.
The ideal candidate will possess a strong understanding of equity securities and derivatives, including hybrid products like bond forwards, knowledge of indexation products, and synthetic prime brokerage, as well as equity derivatives trade flows, booking models, and industry best practices. An understanding of foreign bank branches acting in both a principal and agent capacity would also be beneficial.
As a Senior Compliance Officer, you will play a pivotal role in our compliance team by taking primary responsibilities for covering the Global Securities Financing desk, its products, and related regulatory matters. Your key areas of focus will include:
- Day-to-Day Guidance & Effective Challenge: Provide day-to-day guidance and effective challenge to the Sales and Trading desks to drive scale and growth in alignment with regulatory expectations and market standards.
- Project & Initiative Leadership: Drive the implementation of global and local projects and initiatives related to new business initiatives and/or new or changing regulations.
- Process & Policy Development: Develop and implement new compliance processes, including controls, and compliance policies and procedures.
- New Product Committee Contribution: Contribute to New Product Committees, liaising with business management and functions teams to deliver clear guidelines, ensuring new business activities operate in compliance with applicable regulatory requirements.
- Trade Surveillance Expertise: Provide subject matter expertise on trade surveillance escalations.
- Risk Assessment Facilitation: Work with the Front Office to facilitate risk assessments for the relevant businesses covered and develop action plans for high residual risks.
- Training Development & Delivery: Develop and deliver in-person Compliance trainings, as well as content for online training modules.
You will interact with a wide group of stakeholders locally and globally to support adherence to regulatory, compliance, and risk management priorities. You will be expected to lead initiatives, build relationships, and collaborate with key areas such as Head Office Compliance, Operational Risk, IT, Regulatory Affairs, and Internal Audit.
Qualifications
- A Bachelor’s Degree; a JD or MBA and/or FINRA licenses are helpful, but not required.
- A minimum of 12 years of relevant industry experience.
- Demonstrated ability to analyze new and existing rules and regulations and understand the compliance issues involved with some or all of the following businesses: structured notes, equity derivatives, options, and securities financing.
- Strong analytical and writing skills, and the ability to present and articulate information clearly.
- A highly motivated, pro-active 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.
- A 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.
The salary range for this position will be between $225,000 - $325,000. 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.