Compliance Specialist for Global Financial Services

1 day ago

Montreal, Quebec, Canada Natixis Corporate & Investment Banking Full time

**Job Summary**

Natixis Corporate & Investment Banking is seeking a seasoned Compliance Specialist to oversee the development and implementation of a robust compliance program within our Canada Branch. As a key member of our team, you will be responsible for ensuring adherence to local and cross-border regulations, providing actionable advice and insights across various business lines, and fostering a culture of compliance.

**Responsibilities:**

  • 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.
  • Provide training to Natixis staff in Canada on new regulatory developments and internal policy requirements.
  • Prepare the Annual Canada Branch Chief Compliance Officer Opinion.
  • 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.

**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.
  • In-depth understanding of Canadian regulatory requirements pertaining to lending branches, securities, and derivatives, including Exempt Market Dealer activities.
  • Proven track record in establishing a comprehensive compliance program within a global financial institution.
  • Experience in fostering a culture of compliance and integrating compliance into daily business operations.
  • Proficiency in MS Office Suite (Outlook, Word, Excel, Access, PowerPoint).
  • (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 past 3 years.

**Estimated Salary:** $120,000 - $180,000 per year, based on location and experience.

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