Description: <div id="jobDescriptionText" class="jobsearch-jobDescriptionText" dir="ltr"><div> <h2 class="jobSectionHeader"><b>Poste et missions</b></h2> <div> <br> Natixis is looking for a director-level attorney to join the CIB Americas Legal Department as Counsel who will focus on regulatory matters. Natixis is currently interacting with many regulators: the SEC, FINRA, the Fed, NYS DFS, and the CFTC. The successful candidate will have an opportunity to work on a wide range of legal regulatory matters including, but not limited to, broker-dealer and bank regulatory matters. The Legal Department is small and leanly-staffed and the candidate for this position must have the flexibility to address a diverse array of regulatory matters and the ability and judgment to operate independently. </div> <p><br> </p> <p>The salary range for this position will be between $200,000 - $275,000. 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.</p> <p><br> </p> <p>He/she/they will report to the General Counsel and have responsibility within the CIB Americas Legal Department for providing advice on and coverage for certain regulatory matters. The primary requirements and areas of responsibility include the following:</p> <ul> <li>Providing legal and regulatory advice to Front Office, Back Office, and the Risk Department on both transactional and non-transactional matters.</li> <li>Expertise and working knowledge of broker-dealer regulatory matters, including: Broker-dealer registration and exemptions from registration, including Rule 15a-6, FINRA requirements, SEC regulatory implementation, and</li> <li>taking the lead on SEC and FINRA examination matters and response drafting for items assigned to Legal team (in conjunction with transactional legal teams for items of particular transactional impact).</li> <li>Maintaining a working knowledge of bank regulatory matters impacting foreign banking organizations operating in the United States, including matters related to: <ul> <li>Bank Holding Company Act and related regulations (<i>e.g., </i>Reg Y, Reg W, Reg K<i>)</i></li> <li>Enhanced Prudential Standards</li> <li>NY Department of Financial Services regulations</li> <li>Volcker Rule</li> <li>Permissible activities</li> </ul></li> <li>Managing external counsel, as necessary and appropriate.</li> <li>Legal analysis for new products including contributions to the New Product Committee (including cross border analysis); and coordinating with legal and compliance colleagues in both New York and Paris on regulatory matters</li> <li>Legal support for supervisory issues with Natixis’ regulators including drafting and reviewing exam-related letters and general correspondence</li> <li>Providing support for corporate secretary and corporate governance matters including participation in applicable governance committees</li> <li>Support the regulatory issues impacting the other regions in the CIB Americas platform including Canada, Mexico, and Latin America</li> <li>Participating in industry associations and regulatory watch forums on regulatory developments</li> <li>Coordinating with front office, legal and compliance colleagues in both New York and Paris on regulatory matters</li> </ul> <br> <br> <h2 class="jobSectionHeader"><b>Profil et compétences requises</b></h2> <div> <br> JD/LLM <br> 5+ years at a large financial institution and/or at a law firm <br> Current admittance to the bar of the State of New York as an active member in good standing or eligible for registration as in-house counsel under the Rules of the Court of Appeals of the State of New York <br> Working knowledge of investment advisory matters and/or Swap Dealer and SBSD matters is a plus <br> Experience with transactional broker-dealer items such as Reg M, books & records requirements, restricted lists, conflicts of interest, stapled financing, net capital, Reg T/FINRA 4210, and research/desk commentary <br> Experience with FINRA requirements, esp. in the context of equity capital markets, debt capital markets and structured products <br> Experience with SEC regulatory implementation; prior experience with one or more of Best Execution, Fair Pricing, Reg NMS, Reg SHO, Reg ATS, research rules </div> </div></div>
Posted: 07-Jun-2023
Updated: 06-Sep-2024
Closed: 30-Nov-2023
Practice Areas: Banking
Specialties: Broker-Dealer, Compliance/Regulatory, Debt Capital Markets, FINRA, Structured Finance
Experience: 5+ years
Employer Type: In-House

Regulatory Counsel

Natixis