Senior Compliance Officer
A leading trading venue is seeking a seasoned Compliance professional to oversee regulatory compliance across its European operations, including its Multilateral Trading Facility (MTF) and Data Reporting Services Provider (DRSP) based in Amsterdam. This role is pivotal in supporting the firm's continued growth across the UK, Europe, and Asia.
This is a high-impact opportunity to shape compliance strategy, engage directly with European regulators, and lead a team in a dynamic, fast-paced environment.
The Role:
- Regulatory Leadership: Serve as the senior compliance lead for the EU business, advising the local CEO and managing relationships with regulators (AFM, ESMA) on all compliance matters including regulatory meetings, exams, and reporting
- MTF & DRSP Oversight: Ensure compliance with regulatory obligations related to the MTF and post-trade services including ARM (transaction reporting) and APA (trade reporting)
- Regulatory Engagement: Lead regulatory applications, respond to supervisory requests, and support the implementation of new regulations
- Compliance Framework: Drive the Compliance Risk Assessment process, ensuring it reflects the firm's scale and complexity across EMEA and APAC
- Monitoring & Training: Oversee the annual compliance monitoring and training programs, ensuring effective delivery and continuous improvement
- Policy & Governance: Maintain local compliance policies, procedures, and records (e.g. breach registers, personal account dealing)
- Reporting & MI: Prepare compliance reports and management information for executive committees, boards, and senior stakeholders
- Team Leadership: Manage and mentor junior compliance staff, ensuring high-quality output and professional development
- Regulatory Change Management: Monitor and implement changes in EMEA regulations including responding to consultations and updating internal frameworks
- Group Coordination: Oversee outsourced compliance functions and ensure alignment with global compliance standards
The Candidate:
- 8+ years of experience within the regulatory domain across the EU - MIFID, EMIR & MAR knowledge
- Extensive experience in a senior compliance role within financial services, ideally with exposure to MTFs, ARM/APA services, and cross-border regulatory environments
- Strong knowledge of EU regulatory frameworks and experience liaising with regulators such as AFM and ESMA
- Proven leadership skills with the ability to manage teams and complex regulatory projects
- Excellent communication, analytical, and stakeholder management capabilities
FAQs
Congratulations, we understand that taking the time to apply is a big step. When you apply, your details go directly to the consultant who is sourcing talent. Due to demand, we may not get back to all applicants that have applied. However, we always keep your CV and details on file so when we see similar roles or see skillsets that drive growth in organisations, we will always reach out to discuss opportunities.
Yes. Even if this role isn’t a perfect match, applying allows us to understand your expertise and ambitions, ensuring you're on our radar for the right opportunity when it arises.
We also work in several ways, firstly we advertise our roles available on our site, however, often due to confidentiality we may not post all. We also work with clients who are more focused on skills and understanding what is required to future-proof their business.
That's why we recommend registering your CV so you can be considered for roles that have yet to be created.
Yes, we help with CV and interview preparation. From customised support on how to optimise your CV to interview preparation and compensation negotiations, we advocate for you throughout your next career move.