Deputy Compliance Officer
The role of the US Wholesale Banking Compliance Group is to ensure that the firm conducts its business in accordance with internal policies, industry best practices and federal regulations. The Compliance Group monitors for compliance involving anti-money laundering government sanctions programs, anti-tying, insider trading, and the Code of Ethics while working with other U.S. Entities to ensure compliance with Financial Holding Company guidelines. The responsibilities of the US WB Compliance Group continue to evolve as various activities now cross entity lines and require in-depth analysis by Compliance so as to ensure cross entity business proposals and activities conform to existing banking and broker dealer regulations.
Main Responsibilities
The Deputy Compliance Officer reports to the Firm's Head of Compliance, assisting in advising and ensuring all activities are conducted in accordance with US Federal and State laws, with applicable rules issued by self-regulatory organizations and best practices.
- Deputy Compliance Officer will provide compliance support and guidance primarily for US CIB FIT Capital Markets activities (Fixed Income, Commodities Treasury business line), Debt Finance and Coverage activities and, and may provide support to Equity Markets senior management. , Front office and Control and Support staff concentrating on non-broker dealer activities.
- This role will also be involved with Product and Project Development—primary US CIB Compliance liaison with the New York and Head Office New Product Committees. Analyze new products and business activities and prepare US CIB Compliance memorandum based on that analysis to the Committees.
- Manage regulatory and internal audits examinations of assigned activities; respond to regulatory inquires and prepare and educate the Firm's staff related to applicable new regulations and initiatives.
- In charge of the corporate Compliance Program of the firm (Training, Management of Material non public information and information barrier, mandatory time off, ethics, personal account dealing, etc)
- Implementation of Title VII of Dodd-Frank, in particular registration of Natixis as swap dealer, implementation of external business conducts rules and internal business conduct rules, advisory role for other working group implementing other requirements of Title VII such as transaction reporting, clearing, etc.
- Coordinate with PCU the enhancements of the Compliance Risk Assessment tool - Coordinate within the department the compliance Risk Assessment
- Effectively train, manage and retain professional staff assigned to advisory matters.
Required:
• Experience with designing and conducting formal and informal training sessions.
• Experience utilizing various software, i.e., MS Office including Word, Excel, Access, PowerPoint.
Preferred:
• 7-10 years compliance experience
•Investment Bank experience in capital market(FI/bonds/Structuring Financing)
•Commodities Experience is key
•Broker Dealer Experience
•Legal background a plus
• Research skills
• Oral and written communications
• Organizational and time management skills
• Project management capabilities
• Detail Orientation
• Diplomacy
• Service orientation
Please apply to position: P0.CM31.2013.2 at:
http://www.cm.natixis.com/Careers.aspx
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