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Compliance Analyst
2 months ago
Are you looking to build foundational skills and knowledge in financial compliance? We are seeking a Compliance Analyst with a focus on the compliance review of sales and marketing communications. The Compliance Analyst will ensure that communications satisfy regulatory requirements, lead department projects, and provide compliance oversight to business partners relating to advertising rules and regulations. This is a hybrid position located in Boston, MA.
What you will do:
•Review investment advisor and certain institutional investor broker dealer marketing communications to ensure compliance with applicable FINRA and SEC regulations.
•Collaborate with internal clients and provide guidance in the development of marketing communications. This includes new product development, global marketing campaigns, web design, and social media.
•Test for adherence with various Compliance guidelines for the Broker-Dealer and Registered Investment Advisor.
•Keep abreast of regulatory developments and the impact to sales and marketing collateral.
•Maintain and amend applicable policies and procedures and draft new ones, as needed.
•Provide supplemental/backup assistance to other Compliance areas.
What you will bring:
•Associates or Bachelor’s Degree, or comparable business experience. 1 year compliance, financial services, or legal experience preferred.
•License Certifications: Current Series 7 and 24 licenses viewed favorably.
•Excellent communication skills and an effective writer.
•Organized and able to prioritize and implement multiple responsibilities.
•Strong interpersonal skills to collaborate with individuals from all levels of the organization and the ability to influence and get resolutions.
•Ability to work independently and analytically to solve problems concurrently to support team objectives.
•Flexibility and enthusiasm to assist all areas of Legal & Compliance.
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 programs*.
#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.
*Benefits eligibility is for permanent employees of Natixis Investment Managers. Interns, contractors and temporary workers are not eligible for benefits.
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