Description

About the Firm

We are currently representing a dynamic trading firm specialising in multi-asset execution and innovative trading solutions. The Amsterdam office serves as a key hub for European operations, ensuring adherence to regulatory frameworks while driving operational excellence and market integrity.

Role Overview

The Compliance Manager will oversee regulatory compliance for the firm's trading activities in the Netherlands and across the EU. This role involves monitoring regulatory developments, managing compliance programs, and advising business units on compliance risks. You will act as a primary liaison with regulators and internal stakeholders, ensuring robust governance and operational integrity.

Key Responsibilities

• Regulatory Compliance
  
  • Ensure compliance with AFM requirements and EU directives such as MiFID II, EMIR, MAR
  • Monitor regulatory changes and update internal policies and procedures accordingly
  • Prepare and submit accurate regulatory filings and reports
• Compliance Monitoring & Controls
  
  • Develop and maintain compliance frameworks, including risk assessments and internal controls
  • Conduct periodic audits and reviews to identify gaps and implement corrective actions
  • Maintain compliance registers (conflicts of interest, personal account dealing, outside business interests)
• Advisory & Training
  
  • Provide compliance guidance on new products, services, and operational changes
  • Deliver training programs to ensure staff understand regulatory obligations and conduct rules
• Governance & Reporting
  
  • Report compliance risks and issues to senior management and the board
  • Participate in internal committees related to risk and compliance
• Regulator Engagement
  
  • Act as the primary contact for AFM and other relevant authorities
  • Manage regulatory inspections and inquiries effectively

Key Requirements

• Education: Degree in Law, Finance, Risk Management, or related field. Professional certifications (e.g., ICA, CFA, FRM) are a plus
• Experience:
  • 5+ years in compliance within financial services, preferably trading or brokerage environments
  • Strong knowledge of MiFID II, EMIR, MAR, and Dutch regulatory requirements
• Skills:
  • Excellent analytical and problem-solving abilities
  • Strong communication skills for engaging with regulators and internal stakeholders
  • Ability to manage multiple priorities and work under pressure