Senior Manager, Compliance

7 days ago

Montreal, Quebec, Canada Rochford Recherche de Cadres | Executive Search Full time

At Natixis, we are committed to delivering a comprehensive range of financial services in Canada while upholding the highest standards of ethics and customer protection. We are seeking a dedicated Canada Branch Compliance Officer to ensure that our operations and employees adhere to all applicable local and cross-border regulations. This includes compliance with the Office of the Superintendent of Financial Institutions (OSFI), Ontario Securities Commission (OSC), National Instrument 33-, the Bank Secrecy Act, the USA Patriot Act, and other relevant Canadian and global regulatory requirements.

Reporting to the Canada Senior Country Manager and the Head of Advisory Compliance in New York, the Canada Branch Compliance Officer will play a pivotal role in developing and implementing a robust Compliance Program for Natixis Canada Branch. This position involves providing actionable advice and insights across all business lines, including lending, derivatives, and securities, on both domestic and cross-border activities. Key areas of focus will include anti-money laundering and government sanctions, information barriers, cross-border trading and sales practices, regulatory reporting, and the assessment of new regulations impacting our operations in Canada and abroad.

Key Responsibilities:
  • Oversee and manage the Compliance support and guidance for the Canada Branch and other Natixis entities operating in Canada, collaborating with Front Office business lines and Support Functions.
  • Evaluate the applicability of new Canadian regulations affecting the Canada Branch and other Natixis entities across various lending, securities, and derivatives activities.
  • Contribute to the development and preparation of the General Compliance Risk Assessment.
  • Provide training to Natixis staff in Canada on new regulatory developments and internal policy requirements.
  • Actively participate in the Quarterly Canada Branch Oversight Committee.
  • Prepare the Annual Canada Branch Chief Compliance Officer Opinion.
  • Deliver ongoing updates and reports to the Canada Branch Principal Officer.
  • Assist in implementing second-level testing and monitoring controls, evaluating the effectiveness of first-level controls to ensure compliance with applicable Canadian regulations.
  • Support Natixis Canada Branch employees in adhering to company policies related to anti-money laundering. Collaborate with Americas Compliance to develop and maintain local AML policies, considering new laws, regulations, and industry best practices.
  • In partnership with Americas Compliance, assess internal controls and anti-money laundering compliance programs through transaction analyses, compliance reviews, and training sessions.
  • Manage and coordinate regulatory and internal audit examinations for Natixis Canada Branch and its affiliates, addressing regulatory inquiries and following up on findings as necessary.
  • Work closely with Compliance colleagues in the Americas and Head Office on cross-border projects and the implementation of new regulations affecting Canadian operations.
  • Review and refine global compliance policies and procedures from the Americas and Head Office to ensure alignment with local requirements.
  • Assist in leading ad-hoc projects as requested by the Canada Branch Principal Officer or the Chief Compliance Officer for the Americas.
Required Skills / Qualifications / Experience
  • BA / BS
  • 10+ years of compliance experience in a global financial services firm or regulatory agency, with knowledge of foreign bank branches in Canada
  • Proficient in compliance standards for Chief Compliance Officers of Exempt Market Dealer registrants
  • Familiarity with Canadian regulators (OSFI, OSC, FCAC, AMF) and experience managing regulatory relationships
  • In-depth knowledge of Canadian regulatory requirements for lending branches, securities, and derivatives, including
  • Strong understanding of Canadian financial markets, regulations, and industry best practices in Information Security.
All of the following must be satisfied:
  • i) passed the Exempt Market Products Exam or the Canadian Securities Course Exam,
  • ii) passed the PDO Exam or the Chief Compliance Officers Qualifying Exam, and
  • iii) gained 12 months of relevant securities industry experience in the 36-month period before applying for registration
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