Compliance Officer- Global Markets and Investment Banking

Compliance Officer – Global Markets and Investment Banking

Natixis Corporate & Investment Banking provides the base pay range for this position. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

$/yr – $/yr

CIB Americas Compliance is seeking a motivated mid-level Compliance Officer to join our dynamic Advisory Compliance team. In this role, you will provide essential support across all business lines within Investment Banking and Global Markets, contributing to a robust compliance framework that ensures the highest standards of regulatory adherence.

As a key member of the Advisory Compliance team, you will collaborate closely with various stakeholders to develop, enhance, and support the firm’s regulatory compliance framework, which includes policies, procedures, controls, training, new product reviews, and other related compliance processes. You will proactively coordinate with local and Head Office compliance teams, as well as the Regulatory Affairs Department, Operations, IT, Audit, and Legal.

• Developing and maintaining compliance policies, procedures, controls, and monitoring routines to adapt to regulatory and business changes.
• Reviewing new and updated rules and regulations from the SEC, FINRA, and CFTC to assess their relevance to Investment Banking and Global Markets activities.
• Contributing to new product/new activity (NPNA) opinions while liaising with business management and support functions to ensure compliance with applicable regulatory and internal requirements.
• Providing day-to-day routine coverage of front office desks to ensure compliance oversight.
• Drafting responses for FINRA/SEC inquiries and examinations, ensuring timely and accurate submissions.
• Coordinating with support functions to organize governance forums focused on compliance.
• Assisting in the preparation of the annual Broker-Dealer Compliance Report and annual disclosure letters, ensuring timely filing of routine regulatory reports.
• Supporting the implementation of global and local projects and initiatives related to new business, compliance programs, or evolving regulations.
• Maintaining and tracking the inventory of internal compliance obligations, associated procedures, and controls.
• Reporting Advisory Compliance metrics to various governance forums to ensure transparency and accountability.
• Contributing to ongoing enhancements and analyses of cross-border workflows.
• Supporting the development of engaging online compliance training and presentations.

• Bachelor’s Degree required; J.D. preferred but not mandatory.
• A minimum of 5-7 years of industry experience, preferably in a foreign investment bank.
• General working knowledge of Financing, Investment Banking, and Global Markets activities.
• Demonstrated ability to analyze new and existing rules and regulations for their applicability to regulated entities within the CIB Americas platform.
• Strong analytical and writing skills, with the ability to clearly present and articulate complex information.
• Proven track record of taking initiative, identifying issues, proposing solutions, and driving change.
• Exceptional attention to detail, paired with a strong focus on execution and results.
• Self-starter who thrives in a fast-paced, results-driven environment, with the ability to multitask, adapt to shifting priorities, and work effectively both independently and as part of a team.

At CIB Americas Compliance, you will have the opportunity to work in a collaborative and innovative environment that values your expertise and input. We are committed to fostering a culture of compliance and integrity, while supporting your professional growth and development. If you are looking to make a meaningful impact within a leading financial institution, we encourage you to apply!

Natixis is an equal opportunity employer, committed to a workplace free of discrimination. Natixis will not tolerate any form of discrimination based on age, color, mental or physical handicap or disability, pregnancy, marital status, sexual orientation, national origin, alienage, ancestry or…