Conflicts of Interest Management and Control Room Compliance Office

Poste et missions

CIB Americas Compliance seeks a VP-level Compliance Officer to contribute at the CIB Americas Control Room and support a dynamic CIB Americas Compliance Department.

The Compliance Officer will have direct coverage responsibility to oversee and review deal-related conflicts issues. Such conflicts will include those related to the Firm’s M&A affiliates as well as other entities affiliated with Natixis.

The individual will work closely with the Head of Control Room and the Advisory team, to oversee and support, as well as develop and implement, various Control Room processes.

The individual will be expected to coordinate and collaborate with other groups within Compliance (both locally and in Head Office), as well as with Front Office staff in the Investment Banking business.

The Compliance Officer should have a good, demonstrated knowledge of securities law and best practices, in connection with information barriers, conflicts of interest and debt capital markets origination and syndication activities.

CIB Americas Compliance and its Control Room are responsible for the Americas platform, including Canada and Latin America.

He / she / they must be adaptable, driven, and interested in understanding, contributing to and streamlining the processes required as a Control Room contributor and more generally, the Compliance Department.

Such a candidate will be expected to not only complete requested tasks, but also analyze issues and processes and make constructive suggestions for solutions or improvements.

Compliance Officer Responsibilities

The Compliance Officer will be responsible for Control Room functions, including but not limited to, providing transaction and conflicts advice to the Investment Banking, Coverage and other private side businesses.

The role of the Compliance officer will include, but will not be limited to, the following :

Control Room / Conflicts Management :

• Provide guidance and advice to the business management with respect to conflict issues, information barriers, wall crossings, deal tree creation and management, and managing Watch and Restricted List issues.
• Coordinate with Global Control Room in Head Office to ensure alignment of approach, where possible.
• Coordinate / collaborate with CCOs of affiliates on information barrier and conflicts issues.
• Ensure conflicts are reviewed in advance of engagements / transactions being presented to governance committees.
• Manage Watch List and Restricted List review and monitoring.
• Ensure ongoing accuracy of entries into the Firm’s conflicts management system for new and closed transactions, wall crossings and deal trees.
• Review employee Outside Business Interests and Private Investments for conflicts.
• Develop and provide relevant training on information barriers, information sharing, and the use of the Firm’s conflicts management system.
• Manage updates and development of policies and procedures related to Control Room and information barriers in coordination with Compliance Advisory colleagues and Head Office Compliance.
• Manage the public / private designations for business units / individuals and certain systems access requests.

The salary range at the VP-level for this position will be between $125,000 - $170,000. 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

5+ years compliance and / or legal experience, preferably in Capital Markets in a foreign banking organization.

Legal background highly beneficial.

Good understanding of the SEC and FINRA rules and regulations, with particular focus on conflicts and information barriers.

Knowledge of banking activities (e.g., project finance, aviation finance, acquisition finance, trade finance). and fixed income origination businesses (ABS, CMBS, CLOs) is preferred,

Effective verbal and written communication skills, ability to interact and work closely with the business and infrastructure partners at all levels of seniority.

Ability to proactively identify and analyze problems and propose viable solutions.

Strong organizational skills with the ability to work towards and meet deadlines; demonstrated ability to manage and prioritize several demands simultaneously and bring projects to timely completion.

Proficient in Excel and other MS Office applications; facility with information management systems.