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Compliance Officer (Surveillance, Monitoring & Testing)

Closing date
26 Jun 2022

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Contract Type
Full Time
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Overall purpose of the role:

The objective of the Compliance Control department is to ensure that activities of Natixis - London branch comply with compliance policies, relevant procedures, and applicable regulatory standards by delivering a comprehensive monitoring, testing and surveillance program. Although the role is predominantly focused on the monitoring & testing pillars, the Compliance Controller may also be asked to support initiatives and get involved in projects under the wider remit of Compliance Controls.

Main responsibilities of the role:

As a member of the UK Compliance Department, the Compliance Controller will:
  • Independently plan, scope, and execute Annual Control Testing and Monitoring Plan by conducting thematic and/or ad-hoc compliance reviews over business and operational activities of Natixis-London branch and the UK based CIB M&A boutiques.
  • Effectively liaise with all relevant stakeholders across all stages of the review process (i.e., planning / fieldwork / reporting / action follow-up).
  • Contribute to the risk assessment process on various compliance topics.
  • Manage and take ownership in leading the remediation of compliance identified issues.
  • Ensure that review documentation and evidence is maintained in in line with applicable record-keeping requirements.
  • Be an active and effective team player e.g., provide support in investigating market abuse or e-communications alerts raised through Firm's surveillance tools.
  • Perform quality assurance over outsourced or near-shored compliance operational activities.
  • Contribute and support the production of Management Information.
  • Assist in ad-hoc compliance investigations.
  • Effectively escalate all issues and other matters of interest to management and/or wider compliance organisation
  • Contribute towards continuous enhancement of Compliance Control processes.
  • Collaborate with Compliance colleagues across multiple jurisdictions to support the global projects and initiatives to strengthen the control frameworks.

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.

At Natixis, you have a great opportunity to join an entrepreneurial, agile and growing organisation, and to be part of an inspiring team. We offer a competitive remuneration package and generous total reward package and as an inclusive employer, we are also open to considering flexible working arrangements. We continuously work to create an environment that promotes diversity and inclusion in all its forms, across gender, race, religion, sexual orientation, disability, ethnicity and background. We believe this creates equal opportunities for our employees - and better outcomes for our clients and communities.
We are committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruitment process. Learn moreFull time
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