Regulatory Compliance Officer
We're representing a leading global active asset manager with a long track record, significant assets under management and institutional and retail clients in more than 50 countries. The firm's investment approach rests on active management supported by proprietary research. Its culture is entrepreneurial, and every employee is encouraged to take ownership of their ideas and development.
The Opportunity
Our client's Dutch entity is authorised by the Dutch Authority for Financial Markets (AFM) as an Alternative Investment Fund Manager (AIFM). It also has MiFID top-up permissions for individual portfolio management, investment advice, and reception and transmission of orders, and it has a European branch network.
This is a senior position responsible for the Dutch entity's regulatory compliance and risk framework. You'll make sure the entity meets all its obligations under the Wft (Wet op het financieel toezicht) and its underlying decrees, as well as AIFMD and its delegated and implementing acts. You'll be a key adviser to the Board and the main contact for the regulator.
Reporting Line
You'll report directly to the Board of Directors of the Dutch entity, with functional reporting to the group's Deputy Chief Compliance Officer and the local Managing Directors. The role offers direct exposure to senior leadership in Europe and the US.
Key Responsibilities
- Own the full regulatory reporting cycle, including Annex IV, Benchmark Values Reporting, the DORA Register, ICAAP and related filings
- Act as the main contact with the AFM and lead communication with Dutch regulators on compliance and risk matters
- Advise the Board on the regulatory impact of new products, mandates, client jurisdictions and organisational changes
- Monitor and interpret regulatory developments, and turn them into practical updates to policy and the local Compliance Manual
- Oversee compliance with the group's Global Compliance Manual and local policies across the entity
- Lead the quarterly compliance and risk monitoring programme, and prepare reports for the Board and the Compliance, Risk and Internal Controls Committee
- Escalate material compliance and risk issues to the Board and the group Deputy CCO
- Work with global Technology teams on the DORA and GDPR frameworks
- Work with the Global AML Officer to make sure local AML obligations are met
- Design and deliver compliance training across the Dutch office
- Coordinate with group HR on Health and Safety obligations
Profile
- Bachelor's degree or higher in Law, Finance, Business, Accounting or Management
- 5+ years of regulatory compliance experience within an AIFM
- Strong technical knowledge of the Wft, AIFMD and MiFID II
- Able to work independently and assess regulatory impact with sound commercial judgement
- Confident working with Boards, committees and regulators
- Fluent in Dutch and English, with excellent written and verbal communication skills
- Highly organised and precise, with a strong sense of ownership and accountability
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 resume and details on file so when we see similar roles or see skillsets that drive growth in organizations, 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 resume so you can be considered for roles that have yet to be created.
Yes, we help with resume and interview preparation. From customized support on how to optimize your resume to interview preparation and compensation negotiations, we advocate for you throughout your next career move.