Vice President, Regulatory Compliance Advisor

Company: Natixis Investment Managers
Location: Boston
Posted on: May 9, 2025

Job Description:

The Vice President, Regulatory Compliance Adviser is responsible for assisting the Head of Compliance and Internal Control, US, with the administration of the Enterprise Compliance and Risk Program ("ECRP"). The ECRP is the Program by which Natixis Investment Managers exercises oversight of internal control, compliance and risk management activities at its investment adviser, broker-dealer and distribution affiliates. This is a hybrid position located in Boston, MA.
What you will do:

Enterprise Compliance and Risk Program (ECRP)

• Providing oversight and advice on regulatory compliance issues.
• Staying current on regulatory developments applicable to investment advisers, mutual funds, and broker/dealers, including the impact of banking regulations and non-US regulations.
• Preparing summaries of the Affiliate Compliance, Risk and Internal Control Committee meeting materials and briefing notes for the chair of the committee.
• Analyzing the results of the various elements of the ECRP in order to identify areas of future oversight focus.
• Responsible for the facilitation of Monthly Meetings with Affiliate CCOs.
• Responsible for overseeing the implementation of regulatory changes impactful to NIM and its Affiliates.
• Update NIM level policies and as appropriate develop new policies as regulatory updates/changes are adopted by relevant regulatory bodies.
• Developing new global compliance programs, including responsibility for program design, policy drafting and oversight of implementation.
• Conducting special projects/analyses on an as needed basis.Affiliate Oversight:
  • Develop subject matter expertise on an assigned group of NIM Affiliates and provide guidance and support on compliance related issues, regulatory changes and the launching of new products and new activities.
  • Review and challenge monthly and quarterly reporting provided by NIM Affiliates.
  • Participate in annual risk assessment exercises across a variety of compliance topics (Non-Compliance Risk, Financial Crimes, Technology Risk Management).
  • Together with outside counsel, as appropriate, draft and deliver compliance trainings to Affiliates.Holding Company Compliance Matters:
    • Supporting the administration of the holding company compliance programs.
    • Serving as the point person for and handling regulatory inquiries or exams (e.g. Federal Reserve Bank of New York) and internal audits of the holding company.
    • Assisting with compliance due diligence for potential acquisitions.What you will bring:
      • Juris Doctorate preferred.
      • Minimum 7+ years of relevant experience in compliance and/or operations at an investment management firm or the US Securities and Exchange Commission.
      • Knowledge of the Investment Adviser, Investment Company Act, and FINRA and CFTC rules and regulations.
      • Strong communication and interpersonal skills.
      • Ability to communicate effectively with both holding company and affiliate senior management.
      • Self-starter and highly organized individual able to work well in a deadline driven environment.
      • Digital literacy (Microsoft Office Suite).Who we are:
        We put the best interests of our clients, employees, communities, and environment first in everything we do. We're dedicated to fostering a culture of collaboration, diversity, and inclusion that supports employee growth. We believe this creates equal opportunities for our employees - and better outcomes for our clients and communities. We offer a robust benefits package designed to integrate life and work and to support our employees. Benefits include, but are not limited to; comprehensive medical, dental and vision insurance, paid time off, 401k plan, tuition reimbursement, student loan repayment program, wellness benefits and volunteer program
        Additional insight on working at Natixis, please visit:
        #NatixisIMCulture
        Natixis Investment Managers is an equal opportunity employer and does not discriminate in recruiting, hiring, training, promotion or other terms, conditions and privileges of employment on the basis of race, color, age, national origin, ancestry, religion, sex (including pregnancy), sexual orientation, gender identity, genetic information, military or veteran status, physical or mental disability, or any other status protected by law.
        
        Natixis Investment Managers does not charge fees to participate in the interview process or for employment equipment and does not send employment offers through social media channels. We take security and privacy seriously. If you have been contacted by someone claiming to represent Natixis Investment Managers and are unsure about the legitimacy of the communication, please verify the contact details with Natixis Investment Managers directly.
        
        *Benefits eligibility is for permanent employees of Natixis Investment Managers. Interns, contractors and temporary workers are not eligible for benefits
        
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Keywords: Natixis Investment Managers, Nantucket , Vice President, Regulatory Compliance Advisor, Executive , Boston, Massachusetts