EU Compliance Officer

Role:

This role will work closely with the firm’s Global Chief Compliance Officer and will gain significant exposure to the global regulatory compliance environment with a particular focus on European financial markets. The role offers the possibility to expand the candidate’s experience in the financial industry with both in-house and external training support available.

Responsibilities include, but not limited to:

- Assist in designing/performing periodic reviews and/or internal audits.

- Assist with regulatory examinations, audits and inquiries and be the main point of contact with the firm’s National Competent Authority (AFM and DNB).

- Assist in the development and on-going maintenance of internal surveillance systems and procedures.

- Research regulations and enforcement actions by reviewing regulatory circulars and other sources of information and provide monthly firm-wide updates.

- Support the firm’s training program by producing up to date materials on new products and regulation.

- Function as an internal resource for employees to clarify industry regulations and be the main compliance contact for the Amsterdam office. In office attendance required. This is not a remote position.

- Maintain firm intranet with updates to internal policies and procedures, information notices, and company information.

- Maintain third-party compliance software by updating current policies and attestations and communicating updated policies and procedures to other departments.

- Conduct the firm’s annual self-assessment with corresponding evidence.

- Responsibility for monitoring compliance with transaction reporting requirements.

- Responsibility for AML/CFT program.

Qualifications:

- A strong educational background including a degree in computer science, finance, law, or related field is required.

- 5+ years compliance and/or legal and/or regulatory experience with a national exchange traded derivatives or securities exchange, national competent authority, registered investment firm, proprietary trading firm or other financial institution is preferred.

- The ideal candidate will understand: European securities and derivatives regulations, investment products and operations; project management, technological and prioritization skills; and excellent communication, organization, and collaboration skills.

- Significant subject-matter expertise and familiarity with the rules, practices, and regulations related to: equities, options, and operations are preferred. Proficiency in MS Office (including Sharepoint) is preferred.

Interested? Apply now and we will contact you as soon as possible!