Functie compliance officer
- Capture regulatory developments and ensure our client is compliant with the applicable financial regulations.
- Understands applicable (international) investment regulations and pro-actively identifies changes which are relevant for our client
- Communicates changes in investment regulations/ new regulations and initiates changes to business practice to ensure our client remains compliant with regulation.
- Maintain our client legal documentation (client contracts, delegation of authorities).
- Leading legal work for our client, making use of external legal advisors when appropriate.
- Ensure contractual services offered are compliant with regulations in jurisdiction of clients.
- Code officer for our client. Maintain standards for our client codes (code of conduct, gift policy, insider trading) and keep register.
- Identify all relevant (key) regulatory rules for our client.
- Communicate a clear overview of these to the organization and provide appropriate training to team on a regular basis.
- Pro-actively identify (upcoming) changes to relevant regulatory rules or other relevant developments (example Brexit) and potential implications. This includes a review of relevant consultation papers and policy statements which are published by law makers.
- Make a gap analysis; based on this analysis work with business owners to implement changes in processes/ contracts to ensure Our client remains compliant with regulations.
- Report to management and supervisory board on regulatory compliance and act in an advisory role.
- Complete annual AFM self-assessment and responsible for AFM contact and potential contact with other regulators
- File all our client legal documentation and keep this up to date (for example Delegation of authorities)
- Review contracts with clients to ensure services offered are compliant with regulations in jurisdiction of client.
- First point of contact for ad-hoc legal questions in the organisation; assess when external advice is required and coordinate questions with external legal advisors.
- Maintain Our client code of conduct (annual declaration, verklaring goed gedrag, insider trading, qualification to trade) and keep register.
- Provide legal and compliance services to specific clients:
- Due diligence on external managers to be appointed by NL pension fund
- Appointed Money Laundering Risk Officer (MLRO)
Profiel compliance officer
- University degree in Law
- Minimum 8-10 year experience in a compliance role within an (international) financial services company
- Knowledge of financial markets
- Excellent knowledge of the Dutch regulatory environment for investment firms and good knowledge of relevant European regulation such as UCITS, AIFMD, MiFID II, EMIR and GDPR.
- Strong written and verbal communication skills
- Strong analytical and problem solving skills
- Ability to work independently and able to prioritize and handle multiple tasks
- Ability influence and build strong working relationships
Our client was established as in-house central investment unit responsible for overseeing the x bn. assets
Our client has a licence as an investment company in the Netherlands and is subject to supervision of the Dutch financial regulator Autoriteit Financiele Markten (AFM)..
Relevant regulations are Wft (Wet Financieel Toezicht), MIFid II (sees on transactions), EMIR, UCTIS, AIFMD and GDPR.
The compliance officer’s responsibility is to ensure our client operates in accordance with all applicable laws and regulations.