Compliance Analyst

Natixis Investment Managers•Boston, MA

2d•Hybrid

About The Position

The Compliance Analyst is part of a team responsible for the compliance review and approval of sales and marketing communications. This individual will ensure that communications satisfy regulatory requirements, lead department projects, and provide compliance guidance to business partners relating to advertising rules and regulations. This is a hybrid position located in Boston, MA.

Requirements

Bachelor’s degree required or equivalent relevant experience.
2 years compliance or financial services experience preferred.
Problem solving and analytical abilities.
Excellent writing, organizational, and negotiating skills.

Nice To Haves

FINRA registrations preferred (Series 7 and 24; Series 6 and 26 also considered).
Candidates who have completed the SIE exam (or are actively pursuing FINRA licensing) are highly regarded, as it reflects understanding of regulatory requirements.

Responsibilities

Review and approve mutual fund and separate account marketing materials, analytics, offshore fund communications, and non-product materials to ensure compliance with applicable FINRA, SEC, GIPS and non-US regulations.
Collaborate with internal clients and provide guidance in the development of marketing materials. This includes new product development, global marketing campaigns, web design, and social media.
Stay ahead of regulatory developments and the impact to sales and marketing communications.
Complete and submit regulatory filings.
Assist in developing departmental procedures and guidelines.
Maintain the department SharePoint site.
Collaborate and share knowledge with other Compliance staff.