Permanent Controls Specialist

As part of Natixis’s Secretary General Permanent Control Team, the Permanent Controls Specialist conducts second-line compliance testing across first- and second-line processes. The role designs and executes control reviews across Front, Middle, and Back Office functions, including Global Markets, Investment Banking, Global Finance, and Operations.

You will assess key areas such as trading, regulatory reporting, surveillance, Know Your Customer (KYC), and supervision. Using SQL, Python, and data analytics, you will help expand testing to full data populations, develop reporting tools, document findings, and partner with business, Technology, and Internal Audit teams to address issues and strengthen controls.

Essential duties and responsibilities

Compliance testing and control monitoring

• Design and execute compliance control tests across Global Markets and Investment Banking, including Trading, Regulatory Reporting, Licensing and Registration, Surveillance, Books and Records, KYC, Best Execution, and Supervision.
• Design and implement automated preventive controls that help stop issues before they occur, as well as detective controls that identify issues after they occur.
• Build ongoing control monitoring that tracks performance and flags exceptions continuously, not only during testing.
• Expand testing from sample-based reviews to full-population coverage, where feasible, using data analytics.
• Deliver reviews that identify root causes, quantify exposure, and drive lasting remediation—not just check-the-box results.
• Document test scope, methodology, results, and issues to a standard that can withstand internal audit and regulatory examination.

Data analytics and data science

• Apply strong, hands-on data technology skills, including SQL for querying relational databases and Python, or similar tools, for data analysis and automation.
• Write clean, maintainable code and build tools, applications, and automated workflows that others can rely on. Experience with AI-assisted coding tools is a plus.
• Apply coding directly to analytics and controls by developing the logic behind control tests, exception reports, and reconciliations, and explain and defend that logic to regulators and auditors.
• Extend enterprise data science and low-code analytics platforms with custom Python and SQL.
• Apply statistical and data science techniques to identify anomalies, trends, and emerging risks.
• Produce clear dashboards and metrics for Compliance leadership and governance forums.

Automation and tool development

• Automate repetitive, manual control steps to reduce effort and human error.
• Equip first- and second-line teams with advanced tools for testing, monitoring, and analysis so control owners can identify and address issues earlier.
• Build and maintain internal compliance tools and prototypes for risk assessments, testing workflows, and document extraction, and partner with Technology to move them into production.
• Design solutions that separate business rules and configuration from application code so they can be maintained as requirements change.
• Follow firm standards for code quality, version control, data security, and model and tool governance.

Stakeholder partnership

• Translate regulatory requirements into testable data logic and explain technical findings in clear business terms.
• Partner with first-line control owners, Operations, Technology, and Internal Audit to remediate issues and track them through closure.

Required qualifications

• At least 5 years of experience at a broker-dealer, investment bank, global markets business, or firm serving these organizations, such as a consulting firm, fintech company, or regulator.
• Hands-on experience in data analytics or data science, including working with large, complex datasets from extraction through analysis and findings.
• Strong, hands-on data technology skills, including SQL for querying relational databases and Python, such as pandas, for data manipulation, analysis, and automation.
• Experience with data technology stacks, including databases and data warehouses, ETL or data pipelines, and business intelligence or visualization tools such as Power BI, Tableau, or Dataiku.
• Demonstrated technology aptitude, with the ability to learn new data tools, platforms, and programming environments quickly and independently, and to work across systems and APIs to move and integrate data.
• Working knowledge of capital markets products and the trade lifecycle, including equities, fixed income, or derivatives.
• Clear written and verbal communication skills, including the ability to explain technical work to nontechnical audiences.
• Bachelor’s degree in a quantitative, technical, or related field.

Preferred qualifications

• Experience in compliance control testing or internal audit.
• Familiarity with U.S. regulatory frameworks, including FINRA, SEC, CFTC, and NFA rules.
• Experience with financial and nonfinancial regulatory reporting data quality.
• Exposure to web application development.
• Master’s degree in data science, analytics, computer science, or financial engineering.
• Experience applying AI or generative AI to practical work, such as prompt design, AI-assisted coding, document extraction, or AI agent development.
• Ability to identify and run pilots that use AI or generative AI to accelerate compliance work, including document review, rule interpretation, test scoping, and evidence analysis.
• Ability to critically evaluate AI outputs, incorporate human review, and document controls around AI use.

The salary range for this position at a VP level will be between $150,000 - $185,000. 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.

The salary range for this position at a Director level will be between $190,000 - $225,000. 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.