Head of Compliance
We are currently representing a proprietary trading firm based in Amsterdam, operating in a fast-paced, technology-driven environment at the forefront of global financial markets. Regulated by both the AFM and DNB, the firm maintains a strong focus on regulatory excellence while continuing to scale its trading operations.
They are seeking a Head of Compliance to take ownership of and further strengthen the compliance function. This is a highly visible, hands-on role with direct exposure to senior leadership and trading teams, offering the opportunity to shape compliance strategy within a dynamic trading environment.
The Role
As Head of Compliance, you will be responsible for overseeing the firm's regulatory framework and acting as a key advisor to the business on compliance, regulatory, and trading-related matters. You will work closely with Trading, Technology, and Business teams to design, implement, and optimise compliance processes, while maintaining strong relationships with regulators.
Key Responsibilities
Regulatory Compliance & Oversight
* Lead the design, implementation, and ongoing development of the firm's AFM and DNB compliance frameworks, policies, and procedures
* Monitor regulatory developments and assess their impact on trading activities, particularly across MiFID II, MAR, DORA, prudential requirements, and algorithmic trading
* Oversee compliance monitoring, thematic reviews, and internal control assessments
* Act as a senior advisor to the business on regulatory risk, new products, and strategic initiatives
* Provide clear guidance on licensing, regulatory obligations, and reporting requirements
* Partner with Legal, Risk, Trading, Operations, and Technology to embed a strong compliance culture
Regulatory Interaction & Reporting
* Own and oversee regulatory filings, notifications, and reporting to the AFM and DNB
* Act as the primary point of contact for regulators, managing audits, reviews, and ongoing dialogue
* Ensure accurate maintenance of regulatory documentation and internal records
* Drive firm-wide compliance training and awareness across trading, development, and support teams
* Promote best practices in market conduct and operational compliance across the business
Your Profile
* Background within AFM or DNB, ideally in market supervision, prudential supervision, or conduct oversight
* Strong knowledge of the Dutch and EU regulatory landscape, including MiFID II, MAR, DORA, and prudential frameworks
* Proven ability to interpret regulation in a practical, business-facing way
* Experience assessing regulatory impact on trading activities and new business initiatives
* Strong analytical skills with the ability to conduct gap analyses and enhance compliance frameworks
* Exposure to trading venues, market structure, algorithmic trading, or derivatives markets is highly advantageous
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