Compliance Surveillance Officer
Welcome to Natixis
At Natixis, we create tailor-made solutions in asset & wealth management,
corporate and investment banking, insurance, and payments, with over 16,000 staff members in 38 countries.
As an equal opportunity employer, Natixis is keen on promoting all talents and empowering our employees to evolve, grow, and take ownership of their careers. We strongly believe that our people are our greatest assets.
To keep moving forward collectively, to better serve our clients, and to provide
them with best in class solutions for their growth.
We strongly encourage every employee to foster change and we seek to give the opportunities to make a true impact.
What we can offer:
At Natixis, you have a great opportunity to join an entrepreneurial, agile and growing organisation, and to be part of an inspiring team. Job Description
Overall purpose of the role:
The Compliance Control team is responsible for performing compliance testing, monitoring and surveillance over the business activities conducted by Natixis London branch. It is our objective to ensure the Branch's business activities comply with internal compliance policies and applicable regulatory requirements. Although the role is predominantly focused on the market surveillance pillar, the Candidate will gain exposure to a wide array of compliance testing and monitoring activities performed by Permanent Control Unit.
Responsibilities include but are not limited to:
• Conduct market surveillance activities and review the alerts generated via Firm's surveillance systems;
• Manage relationships with the businesses at all levels, including senior management. This may require effectively challenging businesses by asking appropriate questions and thinking critically about the information presented.
• Involvement in the development and testing of new surveillance models;
• Collaborate effectively with Compliance colleagues across multiple jurisdictions to support the global projects and initiatives to strengthen the control frameworks;
• Production of Management Information, KPIs and other relevant metrics;
• Support delivery of the annual compliance risk assessment with in-depth focus on market abuse risks.
• Support delivery and completion of the annual control testing plan. Required Skills/Qualifications/Experience
The candidate must possess:
• Initiative and judgement;
• The ability to prioritise conflicting demands, organise one's agenda and work under pressure;
• The relationship management skills to deal with management and build partnerships across Compliance function and with other departments;
• Good oral and written communication skills;
• 'Hands-on' approach and strong problem-solving skills;
• French language skills would be desirable but not essential.
Role specific skills:
• Experience in an Operations, Middle Office, or Compliance environment;
• A prior experience in quantitative analysis on ensuring data quality/integrity is a plus.
• General knowledge of Commodities, Equity and Fixed Income Derivatives, Futures, Options and trade life-cycle.
• Familiarity with Trade Surveillance models
• Effective analytical, problem solving and decision-making skills
Experience in an end to end exception management