Canada Branch Compliance Officer

2 weeks ago

Montréal, Canada Natixis Full time

**Poste et missions**:
In addition, the Natixis Canada Branch Compliance and Operating Officer will:
Compliance Function:

- Manage all aspects of the Compliance support and guidance to the team in Canada as well as the Support Functions involved with the Canadian activities.
- Provide Natixis staff located in Canada with regulatory risk analyses and training on new regulatory developments impacting Natixis business in Canada.
- Provide Quarterly Compliance updates/reports to the Canada Branch Principal Officer.
- Implement Second level testing and monitoring controls and provide legal opinions regarding the adequacy of First level controls to achieve compliance with applicable Canadian regulatory requirements.
- Evaluate internal controls and anti-money laundering compliance programs through transaction analyses, compliance reviews and training sessions.
- Be responsible for managing regulatory and internal audit examinations of Natixis Canada Branch or its affiliates; responding to regulatory inquiries, escalating findings and following up as necessary.
- Coordinate closely with Compliance colleagues in the Americas and Head Office on cross border activities.
- Review global compliance policies and procedure from Americas and Head Office Compliance and fine-tune them as needed to comply with local requirements while being an inherent part of the worldwide Natixis Compliance program.
- Assist the Natixis Canada platform or the Natixis group in leading ad-hoc projects as requested by the Senior Country Manager or the Chief Compliance Officer for the Americas.

Legal Regulatory Matters including but not limited to the following:

- Provide day-to-day Canadian regulatory legal advice to Natixis stakeholders on both transactional and non-transactional matters.
- Provide support on bank and securities regulatory matters applicable to foreign banks operating in Canada.

**Profil et compétences requises**:
BA/BS
5+ years’ experience in compliance advisory background within a global financial services firm or with a regulator required
Experience/contact with Canadian securities regulators, specifically experience/contact with local regulators in Canada
In-depth experience with Canadian regulatory requirements applicable to lending branches
Success in developing a “culture of compliance” and integrating compliance in day-to-day business activities
Knowledge of local regulations including regulations on selling practices. Experience in the creation and execution of a compliance program, including development of risk assessment methodology, development of annual control and training plans, and responding to regulatory inquiries and potential findings, among other things
Fluency in English and French (oral and written)
Proficient in MS Office

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