The Advisory Compliance Officer- RIA manages the registered investment adviser compliance program for the Boston Office. The position is responsible for leading all aspects of the compliance policies and procedures for the office and counsels business groups on their policies, procedures, and testing plans; developing, coordinating, and performing reviews of the Boston, MA office and the San Francisco, CA office; managing the Adviser calendar to ensure tasks are completed timely; developing forensic monitors to drive testing efforts; exhibiting a full understanding of the adviser’s structure, offerings, operations, and compliance activities; and leading the administration of the committees as requested. This individual will also work collaboratively with other department personnel to provide supplemental/back-up support when needed and will be responsible for special projects as assigned. This is a hybrid position located in our Boston, MA office.
What you’ll do:
Managing, developing and conducting periodic compliance reviews, including participation in due diligence of sub-advisers
Coordinate and run the Code of Ethics program, facilitating the certification process and pre-clearance process for all employees, as well as necessary reporting to the CCO and senior management
Oversee compliance program from the Boston office
Support the efforts of the registered investment adviser’s Chief Compliance Officer in managing, revising, and updating the compliance program
Handling portions of the investment advisory compliance program
Provide direction in addressing organizational changes and business initiatives and regulatory developments relative to RIA compliance
Recommend compliance policies and procedures resulting from regulatory developments and business initiatives
Develop/update policies and procedures and compliance manual
Implement new regulatory requirements
Conduct periodic training on policies, trends and regulations with respect to advisory compliance matters
Coordinate with, and provide assistance to, broker-dealer compliance personnel on matters relating to registration, licensing and supervisory programs and procedures for advisory activities.
What you’ll bring:
Bachelor’s degree (JDs will be considered)
FINRA Series 7, 24, 63, 65 preferred
Risk Management and/or Trade Compliance/Oversight a plus.
10+ years of relevant compliance and/or relevant financial service experience preferred
Strong familiarity with investment adviser securities trading and monitoring requirements, performance, and advertising standards with prior experience in a regulatory, SRO or audit function desired
Strong interpersonal skills, problem solving and analytical capabilities, strong detail orientation, demonstrated ability to influence, collaborate, negotiate and solve problems with business partners
Excellent writing skills, including experience writing procedures and policy documents and strong verbal communication and presentation skills required
Ability to handle multiple priorities concurrently with strong project management skills
Who we are:
We put the best interests of our clients, employees, communities, and environment first in everything we do. We’re dedicated to fostering a culture of collaboration, diversity, and inclusion that supports employee growth. We believe this creates equal opportunities for our employees — and better outcomes for our clients and communities. We offer a robust benefits package designed to integrate life and work and to support our employees. Benefits include, but are not limited to; comprehensive medical, dental and vision insurance, paid time off, 401k plan, tuition reimbursement, student loan repayment program, wellness benefits and volunteer programs*.
For additional insight on working at Natixis, visit: https://www.im.natixis.com/us/working-at-natixis
#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.
*Benefits eligibility is for permanent employees of Natixis Investment Managers. Interns, contractors and temporary workers are not eligible for benefits.
Natixis Investment Managers does not charge fees to participate in the interview process or for employment equipment and does not send employment offers through social media channels. We take security and privacy seriously. If you have been contacted by someone claiming to represent Natixis Investment Managers and are unsure about the legitimacy of the communication, please verify the contact details with Natixis Investment Managers directly.
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