The Advisory Compliance Officer- RIA manages the registered investment adviser compliance program for the Boston Office. The position is responsible for leading all aspects of the compliance policies and procedures for the office and counsels business groups on their policies, procedures, and testing plans; developing, coordinating, and performing reviews of the Boston, MA office and the San Francisco, CA office; managing the Adviser calendar to ensure tasks are completed timely; developing forensic monitors to drive testing efforts; exhibiting a full understanding of the adviser’s structure, offerings, operations, and compliance activities; and leading the administration of the committees as requested. This individual will also work collaboratively with other department personnel to provide supplemental/back-up support when needed and will be responsible for special projects as assigned. This is a hybrid position located in our Boston, MA office.

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*.
For additional insight on working at Natixis, visit: https://www.im.natixis.com/us/working-at-natixis

• Managing, developing and conducting periodic compliance reviews, including participation in due diligence of sub-advisers
• Coordinate and run the Code of Ethics program, facilitating the certification process and pre-clearance process for all employees, as well as necessary reporting to the CCO and senior management
• Oversee compliance program from the Boston office
• Support the efforts of the registered investment adviser’s Chief Compliance Officer in managing, revising, and updating the compliance program
• Handling portions of the investment advisory compliance program
• Provide direction in addressing organizational changes and business initiatives and regulatory developments relative to RIA compliance
• Recommend compliance policies and procedures resulting from regulatory developments and business initiatives
• Develop/update policies and procedures and compliance manual
• Implement new regulatory requirements
• Conduct periodic training on policies, trends and regulations with respect to advisory compliance matters
• Coordinate with, and provide assistance to, broker-dealer compliance personnel on matters relating to registration, licensing and supervisory programs and procedures for advisory activities.