Vice President, Regulatory Compliance
Natixis Investment Managers
Location: This is a hybrid position located in Boston, MA.
Summary
This Vice President, Regulatory Compliance role (the “VP”) serves within Natixis Investment Management, LLC (“NIM" or the “Firm”), a holding company that oversees and supports the Firm’s affiliates offering investment solutions through a multi-affiliate approach. This position reports to NIM’s Head of Compliance and Internal Controls for the US and APAC and interacts with senior management within NIM and its affiliates. This role is key to the Firm’s oversight of its affiliated investment advisers, broker-dealers and distribution affiliates, and the administration of the Enterprise Compliance and Risk Program (“ECRP”). The ECRP is the program by which NIM exercises oversight of internal controls and compliance and risk management activities across its multiple regulated entities. The VP is responsible for monitoring regulatory requirements, communicating with key stakeholders, assessing potential risks, and helping to drive enhancements as appropriate. Success in this role will require significant attention to detail, a deep understanding of the regulatory and business environment, and the ability to build partnerships across compliance, legal, and other teams within NIM and its affiliates.
Responsibilities
Enterprise Compliance and Risk Program (ECRP)
• Preparing summaries of Compliance Committee materials and briefing notes for the chair of the Compliance Committee.
• Analyzing the results of the various elements of the ECRP to identify areas of future oversight focus and potential enhancements.
• Providing advice on compliance issues, using outside legal assistance where appropriate.
• Staying current on a broad range of regulatory developments applicable to investment advisers, mutual funds, and broker/dealers, including the impact of banking regulations and non-US regulations.
• Developing new global compliance programs, including responsibility for program design, policy drafting and oversight of implementation.
• Conducting special projects/analyses/training on an as needed basis.
• Managing NIM’s Volcker Rule Compliance Program, including the review of new Volcker Rule covered activities reported by affiliates, handling the Volcker Rule Committee process, conducting annual compliance testing, facilitating independent testing, providing training to Natixis and affiliates’ personnel, administering the annual certification process, and preparing the annual effectiveness report.
Regulatory Reporting and Reporting to Natixis
• Creating Compliance Committee and other governance meeting materials and reports.
• Managing ad hoc requests made by shareholders / stakeholders.
• Advising on regulatory reporting efforts.
Holding Company Compliance Matters
• Supporting the administration of the holding company Political law program.
• Serving as the point person for and handling regulatory inquiries or exams (e.g., Federal Reserve Bank of New York) and internal audits of the holding company.
• Assisting with compliance due diligence for potential acquisitions.
• Drafting and delivering compliance training to holding company staff.
Qualifications
• Juris Doctorate required.
• 7+ years of relevant experience in compliance, audit and/or operations involving an investment management firm and/or entities supervised by the Federal Reserve.
• Knowledge of the Investment Advisers Act and Investment Company Act and rules thereunder, and FINRA and CFTC rules and regulations.
• Experience with banking regulations, including the Volcker Rule.
• Strong communication and interpersonal skills.
• Ability to communicate effectively within NIM and externally to affiliates and others (e.g., senior management, legal, compliance, employees, outside counsel, etc.).
• Self-starter and highly organized and detail oriented individual able to work well in a deadline driven environment.
• Digital literacy (Microsoft Office Suite), including the ability to create presentations and reports.
• Experience performing legal research and communicating key points of analysis.
#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.