Hybrid Advisory Compliance Officer at Natixis Investment Managers
Natixis Investment Managers · Boston, United States Of America · Hybrid
- Senior
- Office in Boston
What you’ll do:
- Managing, developing and conducting periodic compliance reviews, including participation in due diligence of sub-advisers
- Coordinate and run the Code of Ethics program, facilitating the certification process and pre-clearance process for all employees, as well as necessary reporting to the CCO and senior management
- Oversee compliance program from the Boston office
- Support the efforts of the registered investment adviser’s Chief Compliance Officer in managing, revising, and updating the compliance program
- Handling portions of the investment advisory compliance program
- Provide direction 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 with respect to advisory compliance matters
- Coordinate with, and provide assistance to, broker-dealer compliance personnel on matters relating to registration, licensing and supervisory programs and procedures for advisory activities.
- Bachelor’s degree (JDs will be considered)
- FINRA Series 7, 24, 63, 65 preferred
- Risk Management and/or Trade Compliance/Oversight a plus.
- 10+ 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, demonstrated ability to influence, collaborate, negotiate and solve problems with business partners
- Excellent writing skills, including experience writing procedures and policy documents and strong verbal communication and presentation skills required
- Ability to handle multiple priorities concurrently with strong project management skills
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*.