Compliance Officer - Control Room

BPCE•New York, NY

47d

About The Position

Natixis CIB Americas Compliance is seeking a Compliance Officer to support the CIB Americas Control Room and Compliance Department. This role involves overseeing and reviewing deal-related conflicts, specifically those related to the Firm's M&A affiliates and other Natixis entities. The Compliance Officer will collaborate closely with the Head of Control Room, the Advisory team, and Front Office staff in Investment Banking, while ensuring compliance with securities laws and best practices concerning information barriers and conflicts of interest. The ideal candidate will be adaptable, driven, and proactive in analyzing processes and proposing improvements. Strong knowledge of compliance protocols, exceptional communication skills, and the ability to manage multiple demands are essential for success in this role.

Requirements

Bacherlor's degree
Five + years of compliance and/or legal experience, preferably in Capital Markets within a foreign banking organization.
Strong understanding of SEC and FINRA rules and regulations, with a particular focus on conflicts and information barriers.
Effective verbal and written communication skills, with the ability to interact and work closely with business and infrastructure partners at all levels of seniority.
Ability to proactively identify and analyze problems while proposing viable solutions.
Strong organizational skills, with the ability to manage and prioritize multiple demands simultaneously, ensuring timely project completion.
Proficient in Excel and other MS Office applications; familiarity with information management systems is a plus.

Nice To Haves

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

Responsibilities

Provide guidance and advice to business management regarding conflict issues, information barriers, wall crossings, deal tree creation and management, and management of Watch and Restricted List issues.
Coordinate with the Global Control Room at Head Office to ensure alignment of approach, when possible.
Collaborate with Chief Compliance Officers (CCOs) of affiliates on information barrier and conflicts issues.
Ensure conflicts are reviewed in advance of engagements and transactions being presented to governance committees.
Manage review and monitoring of the Watch List and Restricted List.
Maintain ongoing accuracy of entries in 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 potential conflicts.
Develop and deliver relevant training on information barriers, information sharing, and the use of the Firm's conflicts management system.
Oversee updates and development of policies and procedures related to the Control Room and information barriers in coordination with Compliance Advisory colleagues and Head Office Compliance.
Manage public/private designations for business units, individuals, and certain systems access requests.