Senior Compliance Analyst
Natixis Investment Managers
OVERVIEW:
The Senior Compliance Analyst - RIA provides registered investment adviser compliance support to the Legal and Compliance Department. The position is responsible for developing, assessing, drafting and maintaining compliance policies and procedures; developing, coordinating, and performing on-site audits of the Boston, MA and the San Francisco, CA offices; managing the Adviser calendar to ensure routine monthly tasks are completed; developing forensic monitors to drive testing efforts; developing a full understanding of the adviser’s structure, offerings, operations, and compliance activities; and managing the administration of the committees. 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.
WHAT YOU WILL DO:
• Develop and conduct periodic compliance reviews, including participation in due diligence of sub-advisers.
• Oversee compliance efforts in both offices on behalf of Boston-based Legal/Compliance Department.
• Support the efforts of the registered investment adviser’s Chief Compliance Officer in managing, revising, and updating compliance program.
• Coordinate portions of the investment advisory compliance program.
• Oversee the compliance aspects of the Model Risk and Portfolio Analytic Programs.
• Provide guidance in addressing organizational changes and business initiatives and regulatory developments relative to RIA compliance.
• Recommend compliance policies and procedures resulting from regulatory developments and business initiatives.
• Develop/update policies and procedures and compliance manual.
• Implement new regulatory requirements.
• Conduct periodic training on policies, trends and regulations related to advisory compliance matters.
• Coordinate with, and provide assistance to, the broker-dealer compliance team on matters relating to registration, licensing and supervisory programs and procedures.
WHAT YOU WILL BRING:
• Bachelor Degree (JDs will be considered)
• 5+ years of relevant compliance and/or relevant financial service experience preferred.
• Strong familiarity with investment adviser securities trading and monitoring requirements, performance, and advertising standards with prior experience in a regulatory, SRO or audit function desired.
• Strong interpersonal skills, problem solving and analytical capabilities, strong detail orientation, proven ability to influence, collaborate, and solve problems with business partners.
• Excellent writing skills, including experience writing procedures and policy documents and strong verbal communication and presentation skills required.
• Experience with Compliance Technology or Power BI preferred.
• Ability to balance multiple priorities concurrently with strong project management skills.
• FINRA Series 7, 24, 63, 65 preferred
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.