Jobs in Amsterdam
Because of the nature of the work, compliance officers traditionally come from a legal or finance background, with associated degrees. The sector is getting increasingly competitive, as being a compliance officer is seen as an attractive career, but individuals in compliance can still hail from diverse backgrounds as regulatory departments are more and more seeking complimentary technology and data skills.
Being a compliance officer can be a demanding job and it can be tough to keep on top of regulatory or legal changes in the financial services sector. The ability to stay on top of things and to manage people well are hallmarks of a good compliance officer. They need to be there for the front office staff, but also for the C-Suite, especially when operating as a Chief Compliance Officer, General Counsel or Chief Operating Officer.
Main Key Duties
While a Compliance Officer’s key duties might change from one type of firm to another, its core responsibilities will usually include, but not be limited to, the following:
Fostering an ethical culture at the firm
Avoiding fines and other penalties from the regulating body (FCA in the UK, SEC in the US)
Creating, monitoring and reporting on internal policies and processes: IT, Strategy, OH&S (Occupational, Health & Safety), KYC (Know Your Customer), PEP (Politically Exposed Person) and Sanctions
Legal research and anticipating future changes
Leveraging future changes in regulation
Reviewing marketing material and disclaimers
Training sessions to staff
Answering “can we do X?” questions from the C-Suite and front office
Conducting internal audits
Assisting with disciplinary proceedings
Reporting to the regulator
Making sure that advice considers business objectives
Prepare and file regulatory reports with the FCA
Main Required Skills
Broader Business Acumen (Product & Technology knowledge)
Interpersonal skills and communication
Problem solving
Attention to detail
Niche candidates and subject matter experts
Latest jobs in Compliance
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2 days ago
Compliance Manager
City of London
Our ClientOur client is an investment manager which focuses on long-term investing and sustainable businesses. They are now looking for ...
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3 days ago
Compliance Officer - Multi-Strategy H...
City of London
Our clientOur client, a multi-strategy hedge fund, is looking for a Compliance Officer to support its London Compliance team. The role w...
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3 days ago
Head of Compliance
City of London
Our ClientA systematic hedge fund is looking for a Head of Compliance (SMF16/17) to join its London office. This is a standalone positio...
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6 days ago
Compliance Manager - Infrastructure
City of London
Our ClientOur client is an asset manager with c. $5bn AuM which focuses on infrastructure projects within the United Kingdom. They are n...
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10 days ago
Interim Compliance Manager
City of London
Our ClientOur client, a well-established hedge fund with offices in London and New York, is looking for an Interim Compliance Manager to...
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16 days ago
Compliance Officer (SMF16/17)
City of London
Our ClientA global hedge fund is looking for a Compliance Officer (SMF16/17) to join its London office. This is a standalone position wi...
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16 days ago
UK Compliance Officer (SMF16/17)
London
Our client, an independent private markets investment firm, is currently looking for a Compliance Officer based in London. Spanning acro...
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16 days ago
Trade Surveillance Analyst
City of London
Our client, a leading quantitative hedge fund, is looking for a Trade Surveillance Analyst to join its London office. The role presents ...