Oversight Quality & Controls Analyst
Poste et missions
This role within Transactional Regulatory Reporting (TRR) and referential data is responsible for a critical function:
The Analyst will engage with a diverse group of stakeholders, both locally and globally, to ensure adherence to regulatory, compliance, and risk management priorities. You will be expected to lead initiatives, build strong relationships, and collaborate effectively with key departments including Compliance, Operational Risk, IT, Regulatory Affairs, and Internal Audit. This position will focus on the Non-Financial Regulatory Reporting Governance for the US Broker-Dealer and Bank Branch platforms.
Key Responsibilities:
• Maintain the accuracy, consistency, and data quality controls for recurring non-financial regulatory reports.
• Develop and present monthly Key Risk Indicator (KRI) and Key Performance Indicator (KPI) metrics to senior management.
• Ensure client referential data is accurately updated and maintained for optimal quality, feeding downstream systems and reporting.
• Perform data quality reviews and reconciliations for the platforms' non-financial regulatory reporting output, including SEC/FINRA CAT, TRACE, and EBS.
• Assist in creating relevant metrics for non-financial regulatory reporting output.
• Participate actively in working groups, identifying project risks and issues, tracking progress, documenting minutes, and following up on action items.
• Contribute to various platform projects and attend relevant meetings concerning data quality, referential systems, and regulatory reporting.
• Collaborate with the Home Office and other stakeholders to implement process changes for centralized referential systems.
Qualifications:
• Bachelor's degree required.
• 5+ years of experience in the Financial Services industry; experience supporting banking or brokerage operations is strongly preferred.
• Exposure to or awareness of FINRA Non-Financial regulations, such as CAT and TRACE, is beneficial.
• Experience in Compliance or Project Management is a plus.
• Exceptional analytical and writing skills, with the ability to present and articulate information clearly and effectively.
• A highly motivated and proactive individual with a proven ability to take initiative, identify issues, propose solutions, and drive implementation of change.
• Strong attention to detail, coupled with a results-oriented mindset and a drive for execution.
• A self-starter adept at thriving in a fast-paced, results-driven environment. You must possess the ability to multitask, adapt to shifting priorities, and work both independently and collaboratively within a team.
• Proficiency in Microsoft Excel and PowerPoint.
The salary range for this position will be between $125,000 - $150,000. 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.
