You will be part of the regional Compliance function to assist with the regulatory oversight and control of my clients new financial market (MTF) and post-trade services (DRSP) operated from Amsterdam.
Your responsibilities will include:
- Advising the business on the local regulatory requirements and ensuring compliance with the Rulebook
- Compliance and financial crime monitoring / use of automated surveillance and assessment of surveillance alerts on the MTF
- Performing periodic KYC and AML reviews
- Managing client and dealer on-boarding and documentation;
- Performing compliance monitoring and contributing to compliance risk reviews
- Compliance Advisory - Act as a point of contact for compliance queries
- Horizon Scanning - monitoring changes to local regulations that may affect the regulated activities
- Advising the local business on the requirements for marketing
- Maintaining local compliance policies and procedures
- Preparation of management information for executive committees or other relevant stakeholders
- Manage customer enquiries regarding our local regulatory set up
- Working closely with the Legal team and local counsel
My client is ideally looking for a compliance professional with experience of working in the UK/EU financial services compliance. My client has a strong preference for candidates with proven experience from a regulated electronic trading platforms or market infrastructure background. Given that this is a technical compliance role my client is seeking knowledge or experience of MiFID II and associated regulations (e.g. market abuse and settlements). As this is a relatively new function we are seeking a compliance officer who is willing to work independently as a standalone function in the new EU office. Fixed income experience is preferable but not essential. Ex-employees of regulatory authority's would be welcome. If you would like to apply for this position please email ClaireSmith@taylorroot.com
Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.