Role: Senior Compliance Officer
Location: Utrecht, Netherlands
Salary: Competitive and candidate dependent
Reporting To: Head of Compliance, Utrecht
An investment management firm, based in Utrecht is seeking a skilled Senior Compliance Officer with experience in overseeing adherence to laws, regulations, and internal guidelines by both management and employees.
The candidate:
- 5-10 years of professional experience in a compliance or legal role at a financial institution
- Knowledge of investment products, investment firm processes, and fiduciary management.
- Knowledge with relevant financial regulation such as Wft, AIFMD, MiFID, EMIR, MAR, Wwft, SFDR; particularly legislation related to investment firms is advantageous.
- A completed university degree, preferably in Law.
- Fluency in English and Dutch.
The role:
- Recognising and comprehending (evolving) laws and regulations that could impact the operations of the investment firm, providing investment services to professional investors, and translating these into business processes, policies, guidelines, and control measures.
- Tracking internal and external developments related to customers, technology, products, regulations, services, laws, and organisational structure that influence compliance risks.
- Monitoring compliance with laws, regulations, and internal guidelines, and providing proactive advice on compliance issues.
