Senior Monitoring Compliance Officer – Trading Venues

We are recruiting for a tech focused Financial Services firm looking to hire a Senior Monitoring Compliance Officer for their Amsterdam office. This is an exciting role for someone who wants to take leadership in driving and delivering a firm’s monitoring programme whilst providing exposure to other key elements of a compliance function.

Main Responsibilities:

• Supporting with the development and periodic updates of the firm’s annual compliance risk assessment, ensuring that this incorporates all key regulatory requirements across the EMEA and APAC businesses
• Developing a robust monitoring programme that is proportionate to the scale, size and complexity of the firm and is tailored towards the key risks that the firm faces
• Taking ownership of all resources and materials related to the monitoring programme such as reporting templates, risk rating scales and management information
• Maintaining a strong understanding of the wider regulatory environment to inform this plan (e.g. the latest regulatory focus areas, business plans released by regulators and any regulatory fines/enforcement actions)
• Maintaining a clear audit trail of all monitoring activities undertaken, so the methodology, approach and outcomes are clear and can withstand review and scrutiny from senior management/ the internal audit function
• Supporting with the preparation of meetings with the UK/EU regulators (FCA, ESMA and AFM), including preparing the related materials and co-ordinating stakeholders
• Overseeing the maintenance of local compliance policies and ensuring that these remain up to date with the activities of the firm and the related regulatory requirements. These should also be communicated frequently to staff across the firm and available to them in a central location
• Management of all other compliance administrative tasks such as internal procedures and general record-keeping (e.g. breach register, PA dealing notifications etc)
• Overseeing the delivery of the firm’s Compliance training programme and supporting in the preparation and performance of the related training sessions

 Job Requirements:

• A substantial background in Compliance in financial services, preferably with experience in trading venues or market infrastructure firms
• This should include experience of working in monitoring related roles, where the individual has overseen/ led monitoring activities for a firm
• Experience in MIFID / MIFIR and the related technical standards, this may involve monitoring of areas such as algos, market abuse, RTS7, PA dealing, AML/sanction screening, outsourcing, transaction reporting, trading halts, gifts and entertainment, and AML/onboarding
• Cross Asset class experience, particularly Fixed Income
• Experience of interacting with UK/European regulators is preferable (FCA, ESMA and the AFM)

The CLARC Guarantee – we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot reply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.

Apply for this role through this job post or email an application to vacancies@clarcrecruitment.com

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