Director, Compliance
Description
What you’ll do:
Enterprise Compliance and Risk Program (ECRP)
- Preparing summaries of Compliance Committee materials and briefing notes for the chair of the Compliance Committee.
- Analyzing the results of the various elements of the ECRP in order to identify areas of future oversight focus.
- Providing advice on compliance issues.
- Staying current on regulatory developments applicable to investment advisers, mutual funds, and broker/dealers, including the impact of banking regulations and non-US regulations.
- Conducting business impact analysis of regulatory developments and changes impacting US Affiliates.
- Working collaboratively with colleagues in EMEA and APAC on compliance projects and regulatory matters with global impact.
- Developing new global compliance programs, including responsibility for program design, policy drafting and oversight of implementation.
- Conducting special projects/analyses on an as needed basis.
Holding Company Compliance Matters:
- Serving as the point person for and handling regulatory inquiries or exams (e.g. Federal Reserve Bank of New York) and internal audits of the holding company.
- Assisting with compliance due diligence for potential acquisitions.
- Drafting and delivering compliance training to holding company staff.
What you’ll bring:
- Juris Doctorate preferred
- A minimum of 5+ years of relevant experience in compliance at an investment management firm
- Deep knowledge of the Investment Adviser, Investment Company Act, and FINRA and CFTC rules and regulations
- Understanding of Federal Reserve Regulation YY Foreign Banking Organization
- Strong communication and interpersonal skills
- Ability to communicate effectively with both holding company and affiliate senior management
- Self-starter and highly organized individual able to work well in a deadline driven environment
- Digital literacy (Microsoft Office Suite)
- Legal research
For additional insight on working at Natixis, visit: https://www.im.natixis.com/us/working-at-natixis
#NatixisIMCulture
Natixis Investment Managers is an equal opportunity employer and does not discriminate in recruiting, hiring, training, promotion or other terms, conditions, and privileges of employment on the basis of race, color, age, national origin, ancestry, religion, sex (including pregnancy), sexual orientation, gender identity, genetic information, military or veteran status, physical or mental disability, or any other status protected by law.
- Benefits eligibility is for permanent employees of Natixis Investment Managers. Interns, contractors, and temporary workers are not eligible for benefits.