Groupe BPCE
Compliance Advisory Officer - OTC Derivatives Sales & Trading
Groupe BPCE, New York, NY
Poste et missions
Natixis seeks a VP-level Compliance Officer to join and grow with the CIB Americas Compliance Department. As a member of the Compliance Advisory Team, the Compliance Officer will assist with providing day to day coverage of the Global Markets Derivatives sales and trading business, which includes products such as Rates, Currencies, Equity, Credit and Commodities. This role will support the ongoing maintenance of the Bank's Swap Dealer and Security-Based Swap Dealer Compliance Program.
He/she/they will interact with a wide group of stakeholders locally and globally to support adherence to regulatory, compliance and risk management priorities and will be expected to participate as well as build relationships and collaborate with key areas such as Head Office Compliance, Operational Risk, IT, Regulatory Affairs, and Internal Audit.
Duties will include:
The salary range for this position will be between $140,000 - $180,000. 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.
Profil et compétences requises
• Bachelors Degree
• 5+ years' relevant industry experience.
• Experience interacting with Front Office sales and trading businesses.
• Demonstrated ability to analyze new and existing rules and regulations and understand the compliance issues relating to OTC Derivatives products.
• Strong analytical and writing skills and must be able to present and articulate clearly.
• Highly motivated, pro-active individual who has demonstrated ability to take initiative, identify issues, propose solutions, and implement change.
• Strong attention to detail, balanced with a strong inclination toward execution and results.
• Self-starter, able to work in a fast-paced, results-driven environment with the ability to multi-task, adapt to shifting priorities, and work both independently and effectively in a team setting.
• Strong proficiency in MS Excel, PowerPoint, and Word
• Effective writing and presentation skills
• Strong analytical and organizational skills
Natixis seeks a VP-level Compliance Officer to join and grow with the CIB Americas Compliance Department. As a member of the Compliance Advisory Team, the Compliance Officer will assist with providing day to day coverage of the Global Markets Derivatives sales and trading business, which includes products such as Rates, Currencies, Equity, Credit and Commodities. This role will support the ongoing maintenance of the Bank's Swap Dealer and Security-Based Swap Dealer Compliance Program.
He/she/they will interact with a wide group of stakeholders locally and globally to support adherence to regulatory, compliance and risk management priorities and will be expected to participate as well as build relationships and collaborate with key areas such as Head Office Compliance, Operational Risk, IT, Regulatory Affairs, and Internal Audit.
Duties will include:
- Assist with providing daily compliance oversight and support to the Front Office and key support functions on compliance related matters for derivatives products such as Foreign Exchange, Commodities, and Interest Rate Derivatives.
- Develop and implement new Compliance processes, including controls and Compliance policies and procedures, to support the business.
- Contribute to the New Product Committees, liaising with business management and support functions teams to ensure new business activities operate in compliance with applicable regulatory requirements.
- Work with the Front Office to facilitate risk assessments for the relevant businesses covered and develop tailored action plans for high and critical residual risks.
- Develop and deliver in-person Compliance trainings as well as content for online training.
- Contribute to the monthly and quarterly Compliance reporting, as well as presentations for Compliance Committee.
- Assist in the enhancement of existing surveillance monitoring models and controls and contribute to the development of new models and detection tools.
The salary range for this position will be between $140,000 - $180,000. 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.
Profil et compétences requises
• Bachelors Degree
• 5+ years' relevant industry experience.
• Experience interacting with Front Office sales and trading businesses.
• Demonstrated ability to analyze new and existing rules and regulations and understand the compliance issues relating to OTC Derivatives products.
• Strong analytical and writing skills and must be able to present and articulate clearly.
• Highly motivated, pro-active individual who has demonstrated ability to take initiative, identify issues, propose solutions, and implement change.
• Strong attention to detail, balanced with a strong inclination toward execution and results.
• Self-starter, able to work in a fast-paced, results-driven environment with the ability to multi-task, adapt to shifting priorities, and work both independently and effectively in a team setting.
• Strong proficiency in MS Excel, PowerPoint, and Word
• Effective writing and presentation skills
• Strong analytical and organizational skills