Regulatory Operations Analyst
{"description": " Poste et missions
The Transactional Regulatory Reporting (TRR) & referential data position will be responsible for Oversight and Review of the OQC TRR Analysts:
• The Leader will interact with a wide group of stakeholders locally and globally to support adherence to regulatory, compliance and risk management priorities and will be expected to lead initiatives as well as build relationships and collaborate with key areas such as Compliance, Operational Risk, IT, Regulatory Affairs, and Internal Audit
• Will focus on Non-Financial Reg Reporting Governance of the platforms US Broker Dealer
• Responsible for maintaining the accuracy, consistency and data quality controls on recurring non-financial regulatory reporting
• Create and maintain KRI/KPI monthly metrics for senior management
• Ensuring client referential data are updated and maintained with accurate data quality to feed downstream systems/reporting
Essential duties and responsibilities
• Perform oversight and review of data quality reviews/reconciliations of the platforms non-financial regulatory reporting output (SEC/FINRA CAT, TRACE, EBS)
• Present monthly GMO metrics deck to key stakeholders for the non-financial regulatory reporting output
• Participate in working groups and assist in identifying project risks and issues, track progress, document minutes, and follow up on action items
• Additional responsibilities will include participation in various platform projects as well as attend meetings as they relate to data quality or any other aspect of referential systems and regulatory reporting
• Working with Home Office and other stakeholders to implement any changes relating to process changes for centralized referential systems.
Supervisory responsibilities
• Liase with OQC Head on staff performance reviews and staff setting of objectives
• Prioritize staff projects with IT, Compliance and Op Risk teams
• Prepares monthly key risk and performance indicators for management
• Make sure procedures are current and being followed. Weekly discussions held to review any changes or concerns with staff. In addition to Ad-Hoc review and feedback
Qualifications
• Bachelor's degree required
• 7+ years' experience in Financial Services Industry (Banking/Brokerage Support preferred).
• Exposure/awareness of FINRA Non-Financial regulations such as CAT & TRACE beneficial
• Compliance or Project Management experience is a plus
• Strong analytical and writing skills and must be able to present and articulate clearly
• Highly motivated, pro-active individual who has demonstrated ability to take initiative, identify issues, propose solutions, and implement change
• Strong attention to detail, balanced with a strong inclination toward execution and results
• Self-starter, able to work in a fast-paced, results-driven environment with the ability to multi-task, adapt to shifting priorities, and work both independently and effectively in a team setting
• Excellent Excel and PowerPoint skills
Natixis is an equal opportunity employer, committed to a workplace free of discrimination. Natixis will not tolerate any form of discrimination based on age, color, mental or physical handicap or disability, pregnancy, marital status, sexual orientation, national origin, alienage, ancestry or citizenship status, race, religion, sex (including sex stereotyping, gender identity, gender expression or transgender status), veteran status, creed, genetic information or carrier status, or any other protected characteristic as established by law.
Respect for all means that we deal with each person as an individual and not as a member of any group. All qualified applicants will receive consideration for employment. Management is expected to provide leadership in supporting the firms EEO program by taking steps to promote EEO in all facets of employment including recruitment, hiring, retention, promotion, performance assessment, and career-development opportunities.
The salary range for this Director position will be between $160,000 - $200,000. 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", "salary_raw": "USD 160,000.00 - 200,000.00 per year"}
