Description

Overview
Our client is a leading asset management firm with a strong presence in global financial markets. The Amsterdam office plays a pivotal role in managing investment strategies and serving institutional clients, operating under a highly regulated framework. The organisation is committed to upholding the highest standards of integrity, transparency, and regulatory compliance.

Role Overview

The Senior Compliance Officer will be responsible for ensuring adherence to Dutch and EU regulatory requirements across the firm's operations. This role involves advising on compliance matters, monitoring regulatory developments, and supporting the implementation of robust compliance frameworks. The position requires a proactive professional who can balance regulatory obligations with business objectives while fostering a strong compliance culture.

Key Responsibilities

Regulatory Oversight & Advisory

• Act as a subject matter expert on MiFID, MAR, GDPR, and WWFT, providing guidance to business units and senior management.
• Monitor regulatory developments and assess their impact on business operations; ensure timely implementation of changes.
• Serve as a point of contact for regulatory inquiries and inspections, supporting interactions with authorities when required.

Policy Development & Implementation

• Draft, review, and maintain compliance policies and procedures aligned with Dutch and EU regulations.
• Ensure internal controls are effective and updated to reflect regulatory changes and best practices.

Monitoring & Testing

• Design and execute compliance monitoring programs, including transaction surveillance and thematic reviews.
• Identify potential compliance risks and recommend corrective actions to mitigate exposure.

Reporting & Governance

• Prepare regular compliance reports for senior management and governance committees, highlighting key risks and trends.
• Escalate material compliance issues promptly and propose remediation plans.

Training & Awareness

• Develop and deliver compliance training programs to employees, promoting a culture of integrity and accountability.
• Provide ongoing support and guidance to staff on regulatory obligations and internal policies.

Stakeholder Engagement

• Collaborate with internal teams, including Risk, Legal, and Operations, to ensure a coordinated approach to compliance.
• Engage with global compliance counterparts to harmonise standards and share best practices.

Qualifications & Experience

• 2-5 years of experience in compliance within financial services, preferably asset management.
• Strong knowledge of MiFID, MAR, GDPR, and WWFT frameworks.
• Excellent analytical, communication, and stakeholder management skills.
• Ability to work independently and collaboratively in a fast-paced environment.
• Fluency in English; Dutch language skills are an advantage.