Title: VP Compliance Officer
Location: The Hague
The firm, established in 1869, is a leading global entity in investment banking, securities, and investment management with offices worldwide. The firm is committed to fostering diversity and inclusion and provides numerous opportunities for professional and personal growth through various training and development programs.
As part of the Asset Wealth Management Compliance team, you will play a crucial role in providing compliance advisory, monitoring, and training services across various activities within the division based in the Netherlands. Your primary responsibilities will include advising business management, responding to regulatory requests, enhancing the compliance program, conducting surveillance and forensic reviews, training staff, and participating in policy updates.
Responsibilities
- Provide advice and oversight on business-as-usual activities to AWM business personnel.
- Advise on client and regulatory interactions, new business initiatives, and significant business changes affecting the firm.
- Participate in the evaluation of new financial instruments and vehicles to identify compliance issues and surveillance needs.
- Conduct daily compliance surveillance of portfolios to ensure regulatory compliance and adherence to policies and procedures.
- Drive controls analysis and assessments for new business initiatives.
- Develop and implement compliance policies and procedures, and assess the impact of changes in global policies on the business.
- Respond to regulatory inquiries and investigations, and ensure breaches and complaints are properly addressed.
- Create, implement, and execute training programs to educate business professionals on compliance requirements, legal issues, and regulatory changes.
Skills & Qualification
- 7+ years of Asset Management experience
- Excellent written communication and the ability to present findings.
- Confidence in expressing viewpoints to senior management.
- Experience with EU and Dutch regulators and knowledge of MiFID, UCITS, and AIFM.
- Effective analytical, organizational, and multitasking skills.
- Ability to work independently and as part of a team.
