Compliance Officer-Swap Dealer/Security-Based Swap Dealer
: Job Details :

Natixis seeks vp-level Compliance Officer to join and grow with the CIB Americas Compliance Department. As a member of the Compliance Advisory Team, the Compliance Officer will provide day to day coverage of SEC Security-Based Swap Dealer (SBSD) regulation, CFTC Swap Dealer (SD) and NFA regulation, including responsibility for oversight of trade surveillance activity and escalations.

The role will include interacting with a wide group of compliance and business stakeholders locally and globally to support adherence to regulatory requirements, compliance management priorities and contribute to initiatives, as well as build collaborative relationships across various departments.

His/her/their will include providing regulatory and compliance advice for the SD and SBSD Business and supporting the Head of Compliance Advisory. More specifically:

• Assist with providing daily compliance oversight and support to the Global Markets Derivatives sales and trading business, and key support functions such as Operations.
• Provide subject matter expertise on compliance related matters for derivatives products such as Foreign Exchange, Commodities, and Interest Rate Derivatives.
• Assist with swap dealer and security-based swap dealer Associated Person enquiries.
• Assist with developing and delivering swap dealer and security-based swap dealer compliance training content for regional and global Associated Persons and other key support functions personnel.
• Draft and update swap and security-based swap compliance guidelines, policies, and procedures to address new and modified regulatory requirements and business processes.
• Work with the Legal Department and outside counsel on potential swap and security-based swap rules, regulations and interpretive guidance for the business and support Functions.
• Assist with enquiries from Internal Audit and U.S. regulators (e.g., NFA and SEC) during regulatory audits and regulatory exams.
• Assist in the enhancement of existing surveillance monitoring models and controls and contribute to the development of new models and detection tools.

Requirements:

• Bachelor's degree
• 6+ years compliance experience
• 3+ years of experience and expertise of laws, rules and regulation pertaining to NFA, CFTC Swap Dealer and SEC Security-Based Swap Dealer.
• Experience interacting with the Front Office sales and trading business.
• Ability to understand the compliance issues involved with the Global Markets Business, swaps and security-based swap regulation.
• Ability to interpret and analyze regulations to determine the impact to the firm.
• Experience with identifying and drafting compliance policies or requirements.
• Ability to maintain an objective and independent perspective and offer consistent compliance interpretations to first-line personnel.
• Self-directed and highly motivated candidate who has demonstrated ability to take initiative and work independently.
• Experience with developing and reviewing surveillance alerts and swaps-related scenarios would be useful.
• Strong proficiency in MS Excel and PowerPoint and Word
• Project management skills
• Strong analytical and organizational skills

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. All qualified applicants will receive consideration for employment. Management is expected to provide leadership in supporting the firms EEO program by taking steps to promote EEO in all facets of employment including recruitment, hiring, retention, promotion, performance assessment, and career-development opportunities.

The salary range for this position will be between $140,000 - $180,000. 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.