Compliance Analyst - RIA
Description
The Compliance Analyst - RIA provides registered investment adviser compliance support to the Legal and Compliance Department. The position will primarily assist with the administration of the Code of Ethics Compliance Program; assess, draft, and perform on-site audits for policies and procedures; and report exceptions or concerns to management. The Analyst will manage the Adviser calendar to ensure routine monthly tasks, filings, and reporting obligations are completed while developing a full understanding of the adviser’s structure, offerings, operations, and compliance activities. This individual will also work cooperatively with other team members to provide supplemental/back-up support when needed and will be responsible for special projects as assigned. This is a hybrid position based in either Boston, MA or San Francisco, CA.
- 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.
- 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
- Bachelor’s degree
- 3-4 years of compliance and/or relevant financial service experience preferred.
- Experience with Microsoft applications, Excel and Power BI.
- 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.
- Experience with Compliance Technology or Power BI viewed favorably.
- Flexibility and willingness to assist all areas of Legal & Compliance if circumstances required.
- FINRA Series 7 & 24 viewed favorably.
Who we are:
We put the best interests of our clients, employees, communities, and environment first in everything we do. We’re dedicated to fostering a culture of collaboration, diversity, and inclusion that supports employee growth. We believe this creates equal opportunities for our employees — and better outcomes for our clients and communities. We offer a robust benefits package designed to integrate life and work and to support our employees. Benefits include, but are not limited to; comprehensive medical, dental and vision insurance, paid time off, 401k plan, tuition reimbursement, student loan repayment program, wellness benefits and volunteer programs*.
#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.