Advisory Compliance- Equity Derivatives / Prime Financing

About the role

The CIB Americas Compliance department at Natixis is a vital strategic partner, providing comprehensive compliance guidance to support the CIB Americas Platform. We are seeking an enthusiastic Compliance Officer (Director or Executive Director) to join our dedicated team covering the Global Securities Financing desk.

Responsibilities

• 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.
• Drive the implementation of global and local projects and initiatives related to new business initiatives and/or new or changing regulations.
• Develop and implement new compliance processes, including controls, and compliance policies and procedures.
• 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.
• Provide subject matter expertise on trade surveillance escalations.
• Work with the Front Office to facilitate risk assessments for the relevant businesses covered and develop action plans for high residual risks.
• Develop and deliver in-person Compliance trainings, as well as content for online training modules.

Requirements

• Demonstrated ability to analyze new and existing rules and regulations and understand the compliance issues involved with 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.
• A 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.

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.
• A highly motivated, pro-active individual who has demonstrated the ability to take initiative, identify issues, propose solutions, and implement change.
• A 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.

Benefits

Natixis is an equal opportunity employer, committed to a workplace free of discrimination. Natixis will not tolerate any form of discrimination based on age, color, mental or physical handicap or disability, pregnancy, marital status, sexual orientation, national origin, alienage, ancestry or citizenship status, race, religion, sex (including sex stereotyping, gender identity, gender expression or transgender status), veteran status, creed, genetic information or carrier status, or any other protected characteristic as established by law. Respect for all means that we deal with each person as an individual and not as a member of any group.

Pay

The salary range for this position will be between $225,000 - $325,000. 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.

Schedule

Not specified.