Compliance Advisor

Summary

This Compliance Director role serves within the Natixis Investment Management holding company (“NIM” or the “Firm”) and leads key components of NIM’s Enterprise Compliance and Risk Program (“ECRP”). The ECRP is the program by which NIM exercises oversight of internal controls and compliance and risk management activities across its multiple investment advisers, broker-dealers and distribution affiliates. This position reports to NIM’s Head of Compliance and Internal Controls for the US and APAC and interacts with senior management within NIM and its affiliates. Success in this role will require significant attention to detail, a deep understanding of the regulatory and business environment, and the ability to build partnerships across compliance, legal, and other teams within NIM and its affiliates. This is a hybrid position located in Boston, MA.

Responsibilities

Administer and drive key components of the Firm’s compliance and oversight functions, including:

• Implementing and monitoring the Firm’s Code of Ethics, Political Law, and Lobbying Compliance Programs
• Developing, improving and overseeing compliance-related operating processes and procedures across a wide range of topics such as:

• Affiliated Underwriting Compliance
• Corporate Charitable Contributions Oversight
• Non-Access Directors Compliance Process
• Affiliated Funds List Administration
• Development and delivery of compliance training to Holding Company staff.
• Building and maintain operational and other procedures, guidance for affiliate firms, training, etc.
• Systems used to evidence compliance activities and gather information and/or compliance certifications
• Coordinating with compliance team members and business line personnel to meet compliance calendar deliverables
• Other special projects and regulatory initiatives as requested

Leading, organizing and tracking regulatory reporting matters such as:

• Collecting information from affiliate firms and ensuring the timely and accurate submission of applicable regulatory filings on behalf of the firm including:
• TIC Forms filed with the US Treasury Department (TIC SLT, TIC BC, SHLA, SHCA, etc.)
• SEC Form 13H (Large Trader Administration)
• SEC Form PF
• BEA Reporting to the US Commerce Department
• Managing ad-hoc reporting and regulatory requests

Qualifications

• Bachelor’s degree.
• JD preferred, but not required.
• 7+ years of relevant experience in legal, compliance, audit and/or operations involving an investment management firm and/or entities supervised by the Federal Reserve.
• Demonstrated knowledge of the Investment Advisers Act and Investment Company Act, and rules thereunder.
• Strong communication / interpersonal skills and a history of engaging with business partners.
• Ability to effectively engage and connect with people at all levels of the organization.
• Self-starter and highly organized. Able to work well in a deadline driven environment.
• Digital literacy and systems skills (Microsoft Office Suite, compliance platforms, etc.).
• Ability to research and assess regulations and regulatory matters.
• Comfort organizing data, developing reports and communicating guidance to business partners.

#NatixisIMCulture

Natixis Investment Managers is an equal opportunity employer and does not discriminate in recruiting, hiring, training, promotion or other terms, conditions and privileges of employment on the basis of race, color, age, national origin, ancestry, religion, sex (including pregnancy), sexual orientation, gender identity, genetic information, military or veteran status, physical or mental disability, or any other status protected by law.