Compliance Specialist in Financial Services
1 day ago
Natixis Corporate & Investment Banking seeks a seasoned Compliance Specialist to oversee and manage the compliance support and guidance for its operations in Canada. This role requires a strong understanding of Canadian regulatory requirements, particularly those related to lending branches, securities, and derivatives.
Key Responsibilities:
- Provide actionable advice and insights on both domestic and cross-border activities across all business lines, including lending, derivatives, and securities.
- Develop and implement a robust Compliance Program for Natixis Canada Branch, focusing on anti-money laundering and government sanctions, information barriers, cross-border trading and sales practices, regulatory reporting, and assessment of new regulations impacting operations in Canada and abroad.
- Oversee and manage Compliance support and guidance for the Canada Branch and other Natixis entities operating in Canada, collaborating with Front Office business lines and Support Functions.
- Contribute to the development and preparation of the General Compliance Risk Assessment.
- Prepare the Annual Canada Branch Chief Compliance Officer Opinion and assist in implementing second-level testing and monitoring controls.
Requirements:
- Bachelor's degree in Economics, Finance, Business Management, or a related field; an MBA, JD, or equivalent advanced degree is a plus.
- Over 10 years of compliance experience within a global financial services firm or regulatory agency, with a preference for candidates knowledgeable about foreign bank branches operating in Canada.
- Comprehensive compliance knowledge that meets or exceeds the proficiency requirements for Chief Compliance Officers of Exempt Market Dealer registrants.
- OSFI, OSC, FCAC, AMF) and experience in managing regulatory relationships.
- Proven track record in establishing a comprehensive compliance program within a global financial institution.
Salary: $120,000 - $180,000 per year.
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