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    Core Compliance Officer - New York, United States - Groupe BPCE

    Groupe BPCE
    Groupe BPCE New York, United States

    3 weeks ago

    Default job background
    CDI
    Description

    Poste et missions


    A VP-level professional is needed to support the Core Compliance Team in creating and maintaining processes to ensure that all impacted Natixis CIB Americas entities and employees are adequately registered with the appropriate regulatory bodies and comply with related registration requirements. This will include responsibility for the scheduling and tracking of all required registrations as well as the coordination of U4 and U5 forms.

    Additionally, the individual will assist with Personal Account Dealing (PAD) matters, including the setup and termination of accounts, provide advice to employee regarding the brokerage account requirements, restrictions of employee trading, holding periods, PAD Violations and contribute to subject matter expertise around any PAD-related questions made by employees.

    The individual will also assist with other Core Compliance functions such as the review and escalation of Electronic Communications, Mandatory Leave, and Conduct issue tracking and escalation.

    The salary range for this position will be between $125,000 - $175,000. Natixis is required by law to include a reasonable estimate of the compensation range for this role. Actual base salary will vary and will be based on several factors including, but not limited to, relevant experience, education, skills set, applicable licensure and certifications, and other business and organizational needs. Base salary is only one component of our total rewards package. Natixis also offers a generous benefits package, and you may be eligible for a discretionary incentive award depending on company and individual performance.

    He/she/they will report to the Head of Core Compliance.

    The Compliance Officer will be primarily responsible for the following:

    • Handle the daily monitoring of FINRA Web CRD including form filings U4, U5, BD and BR
    • Perform registration pre-hire checks.
    • Communicate with the State and Regulatory Agencies regarding registration filings.
    • Ensure employee annual Regulatory Continuing Education requirements are met and draft examination waiver requests as needed.
    • Ensure KRI is maintained and tracked to complete timely regulatory filings and payments.
    • Schedule regulatory license examinations and order and track study materials.
    • Maintain Government Securities Dealer Representatives List and Swap Dealer AP List.
    • Review/approve training and fingerprint invoices.
    • Review FINRA Firm and Organization queues.
    • Process annual Tennessee Privilege Tax bulk filing and payment
    • Escalate any issues or concerns to Head of Core Compliance
    • Assist with employee New Hire Affirmations and Account Disclosures
    • Handle employees' questions related to Personal Account Dealing matters (e.g., account disclosure and pre-clearance of trades) as well as administration of account statement feeds from designated brokerage firms for new joiners, internal mobilities and leavers.
    • Collaborate with other members of the team to provide training on Core Compliance matters such as Personal Account Dealing, registrations, and electronic communications.
    • Review electronic communication surveillance alerts and coordinate any necessary escalations.
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