Broker Dealer CCO & Global Securities Finance Compliance Officer

CIB Americas Compliance is seeking an ED- or MD-level Compliance Officer to join our dynamic team and support the growth of the CIB Americas Compliance Department. This role will involve acting as the Chief Compliance Officer (CCO) for the Firm’s broker-dealer, providing senior management with expert advice on the governance and control framework, leading remediation efforts, and managing regulatory inquiries, examinations, and relationships with FINRA and the SEC.

In addition, the Compliance Officer will deliver day-to-day coverage for the Global Securities Finance desk in New York, which encompasses synthetic prime brokerage activities (including repos and securities lending/collateral upgrade trades) and the Delta One desk for Total Return Swap (TRS) trading activity. The ideal candidate will possess a strong understanding of structured equity derivatives transactions and the vital role of a trading desk in executing these transactions, along with familiarity with equity derivatives trade flows, booking models, and industry best practices.

He/She/They will collaborate closely with the Head of Advisory Compliance and the CIB Americas Chief Compliance Officer to develop, enhance, and support various activities, processes, and controls applicable to the Compliance team. The successful candidate will be proactive in coordinating and collaborating with other Compliance teams, both locally and at the Head Office, as well as with the Regulatory Affairs Department. A willingness to take on responsibilities for businesses and/or projects outside of their immediate area of expertise is essential.

The ideal Compliance Officer will be adaptable, driven, and eager to understand and contribute to the activities and processes essential for the successful operation of the Firm’s Compliance Department. The candidate should not only complete assigned tasks but also analyze issues and processes, providing constructive suggestions for solutions or improvements. A strong understanding of structured equity capital markets transactions and the role of trading desks, along with knowledge of foreign bank branches acting in both principal and agent capacities on equity derivatives transactions, will be beneficial.

Key Responsibilities:

• Enhance the supervision and governance of the broker-dealer, working closely with senior management, the Regulatory Affairs Group, and the CCO.
• Lead the management of FINRA exams and inquiries, as well as SEC ad hoc inquiries and examinations.
• Drive initiatives aimed at enhancing and streamlining broker-dealer activities, potentially facilitating the transition of certain activities to Natixis S.A.
• Provide leadership as a member of the Broker Dealer Management Committee.
• Manage the coordination and production of the Annual Broker-Dealer report.
• Support and work closely with the Global Securities Finance desk, offering guidance on the equity TRS product and synthetic prime brokerage.
• Serve as the Compliance expert for securities lending and repo products, including compliance with SEC Rules 15c3-3 and 15a-6.
• Provide support concerning electronic execution platforms and SEC Rule 15c3-5.
• Oversee compliance with processes such as transaction reporting, best execution, complaints handling, and chat room procedures.
• Lead the implementation of global and local projects and initiatives related to new business, Compliance programs, regulatory changes, or new tools.
• Contribute to New Product Committees, collaborating with business management and support function teams to ensure compliance with regulatory requirements for new business activities.
• Conduct comprehensive risk assessments for relevant business areas, including General Compliance Risk Assessments and other specialized evaluations.

The salary range for this position will be between $300,000 - $350,000. 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.