Natixis NY Branch
Compliance Officer CUSO Governance and Reporting
Natixis NY Branch, New York, New York, us, 10261
Compliance Officer CUSO Governance and Reporting
CDI
WORKDAY_JR01049
New York
CUSO Compliance Governance and Reporting Officer supporting the Head of Combined U.S. Operations (CUSO) Compliance in overseeing and executing on operational, organizational, reporting, and regulatory matters relating to the CUSO Compliance team. This position requires a highly motivated individual with a strong regulatory background in both wealth management and banking organizations. The position also requires strong communication skills and ability to develop and maintain relationships with multiple stakeholders across functional roles and seniority levels. The individual would work closely with all functions within CUSO Compliance and collaborate with key areas of risk and compliance within multiple business types, including corporate and investment banking, M&A, and particularly wealth management. This Compliance Officer will report into the Head of CUSO Compliance and will be responsible for supporting the broader team as follows: Regulatory Compliance:
Monitor and interpret applicable laws, regulations, and industry standards relevant to wealth management and banking organizations. Close involvement in prudential regulatory interactions and monitoring of identified remediations or enhancements related to regulator recommendations or self-identified issues. Risk Assessment:
Analyze Compliance metrics, risk appetite framework, results of Compliance risk assessments, and related control plans, across multiple business types to identify potential vulnerabilities and develop strategies to mitigate those risks effectively. Ensure material risks are escalated to senior management in a timely manner. Policy Development:
Develop, implement, and maintain CUSO level compliance policies and procedures tailored to the unique needs of U.S. investment banking and wealth management businesses, ensuring alignment with regulatory changes and industry best practices. Collaboration:
Work closely with other departments, including business line compliance functions, risk management, technology, audit, legal, operations, and business leaders, to ensure a comprehensive and unified approach to compliance across the organization. Stay Informed:
Keep abreast of industry trends, regulatory changes, and emerging risks related to financial services and wealth management to ensure the organization remains compliant and proactive.
Primary responsibilities include: Support the development and maintenance of a compliance risk management framework (e.g., risk appetite, etc.); perform analyses, document findings, and prepare materials for presentation to senior management Analyze various compliance risks and perform on-going quality reviews of processes, information, and data across the Compliance teams to identify opportunities for process improvement and/or automation Document procedures, maintain and enhance governance and controls that support the compliance risk framework and demonstrate sustainability Lead and/or participate in ad hoc projects and working groups Contribute to the execution of various activities common across the Compliance teams (e.g., internal audits, exams, etc.) to consolidate updates/reporting and ensure consistency and alignment across functions Assist in the coordination with Head Office on key projects and initiatives; liaise with Head Office and other Natixis locations on global and local issues to ensure U.S. views and needs are represented Compile and review various Compliance information and data used for reporting; analyze/track risks for the Compliance teams, CCOs, Head Office, and other governance committees Identify key themes, trends, or issues, including regulatory or issues management, and other transversal topics on an on-going basis for monitoring and/or escalation
The salary range for this position will be between $190,000 - 220,000. 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. Bachelors degree or equivalent 5+ years of relevant financial services / wealth management industry experience preferably within a Compliance or Risk business management/COO function Strong knowledge of investment products, financial and investment advisor regulations, and compliance practices. Familiarity with the roles and responsibilities of the three lines-of-defense model for effective risk management, governance, and oversight in the context of investment banking and sales and trading businesses Prior experience in Compliance, Operational Risk, senior management reporting, and/or Regulatory interactions Solid understanding of governance, risk, and compliance frameworks Effective interpersonal, relationship, and written/verbal communication skills, with a strong ability to collaborate, partner, and influence at all levels of seniority Ability to consider multiple or varying viewpoints across stakeholders when proposing solutions or solving issues
#J-18808-Ljbffr
CUSO Compliance Governance and Reporting Officer supporting the Head of Combined U.S. Operations (CUSO) Compliance in overseeing and executing on operational, organizational, reporting, and regulatory matters relating to the CUSO Compliance team. This position requires a highly motivated individual with a strong regulatory background in both wealth management and banking organizations. The position also requires strong communication skills and ability to develop and maintain relationships with multiple stakeholders across functional roles and seniority levels. The individual would work closely with all functions within CUSO Compliance and collaborate with key areas of risk and compliance within multiple business types, including corporate and investment banking, M&A, and particularly wealth management. This Compliance Officer will report into the Head of CUSO Compliance and will be responsible for supporting the broader team as follows: Regulatory Compliance:
Monitor and interpret applicable laws, regulations, and industry standards relevant to wealth management and banking organizations. Close involvement in prudential regulatory interactions and monitoring of identified remediations or enhancements related to regulator recommendations or self-identified issues. Risk Assessment:
Analyze Compliance metrics, risk appetite framework, results of Compliance risk assessments, and related control plans, across multiple business types to identify potential vulnerabilities and develop strategies to mitigate those risks effectively. Ensure material risks are escalated to senior management in a timely manner. Policy Development:
Develop, implement, and maintain CUSO level compliance policies and procedures tailored to the unique needs of U.S. investment banking and wealth management businesses, ensuring alignment with regulatory changes and industry best practices. Collaboration:
Work closely with other departments, including business line compliance functions, risk management, technology, audit, legal, operations, and business leaders, to ensure a comprehensive and unified approach to compliance across the organization. Stay Informed:
Keep abreast of industry trends, regulatory changes, and emerging risks related to financial services and wealth management to ensure the organization remains compliant and proactive.
Primary responsibilities include: Support the development and maintenance of a compliance risk management framework (e.g., risk appetite, etc.); perform analyses, document findings, and prepare materials for presentation to senior management Analyze various compliance risks and perform on-going quality reviews of processes, information, and data across the Compliance teams to identify opportunities for process improvement and/or automation Document procedures, maintain and enhance governance and controls that support the compliance risk framework and demonstrate sustainability Lead and/or participate in ad hoc projects and working groups Contribute to the execution of various activities common across the Compliance teams (e.g., internal audits, exams, etc.) to consolidate updates/reporting and ensure consistency and alignment across functions Assist in the coordination with Head Office on key projects and initiatives; liaise with Head Office and other Natixis locations on global and local issues to ensure U.S. views and needs are represented Compile and review various Compliance information and data used for reporting; analyze/track risks for the Compliance teams, CCOs, Head Office, and other governance committees Identify key themes, trends, or issues, including regulatory or issues management, and other transversal topics on an on-going basis for monitoring and/or escalation
The salary range for this position will be between $190,000 - 220,000. 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. Bachelors degree or equivalent 5+ years of relevant financial services / wealth management industry experience preferably within a Compliance or Risk business management/COO function Strong knowledge of investment products, financial and investment advisor regulations, and compliance practices. Familiarity with the roles and responsibilities of the three lines-of-defense model for effective risk management, governance, and oversight in the context of investment banking and sales and trading businesses Prior experience in Compliance, Operational Risk, senior management reporting, and/or Regulatory interactions Solid understanding of governance, risk, and compliance frameworks Effective interpersonal, relationship, and written/verbal communication skills, with a strong ability to collaborate, partner, and influence at all levels of seniority Ability to consider multiple or varying viewpoints across stakeholders when proposing solutions or solving issues
#J-18808-Ljbffr