Chief Compliance Officer - Digital Brokerage

Fintech Confidential; Amsterdam; Vor Ort; EUR 150.000 - 200.000; Vollzeit

Zusammenfassung

Fintech Confidential is establishing a new regulated investment business in the Netherlands and seeks an experienced Chief Compliance Officer (CCO) to lead the compliance workstream through licensing and to build the compliance function post-authorization.

As Chief Compliance Officer, Europe, you will work with the Board, legal counsel, external advisers and the Dutch regulator, developing policies and governance and ensuring ongoing regulatory compliance across the license and operations.

Qualifikationen

• 10+ years of relevant experience in financial services compliance, ideally within digital brokerage, securities, investment services, custody, wealth management or MiFID-regulated environment.
• Strong knowledge of MiFID II, Wft, client asset/client money requirements and AML/CTF.
• Experience engaging directly with financial regulators and/or supporting or leading licensing processes.
• Proven experience building compliance frameworks, policies and governance structures from the ground up.
• Strong understanding of regulated investment or brokerage businesses and their operating models.
• Strong stakeholder management and communication skills.
• Hands-on, pragmatic and comfortable working in a fast-moving international environment.
• Fluent English; Dutch language skills and experience with Dutch regulators are strong advantages.

Aufgaben

• Lead the compliance workstream for the Dutch entity licensing application.
• Serve as a Company Director of the Dutch regulated entity, with responsibility for director requirements as part of licensing.
• Develop and maintain compliance sections of the business plan, policies and regulatory submissions.
• Engage with the Dutch regulator through meetings and information requests.
• Establish governance, compliance and control framework for authorization and day-one operations.
• Advise the Board and senior management on regulatory requirements and compliance risks.
• Establish and oversee the firm's compliance framework and monitoring program.
• Ensure compliance with MiFID II, Wft, client asset/money and AML/CTF requirements.
• Provide compliance advice on products, customer journeys, marketing and initiatives.
• Oversee regulatory developments, risks and reporting with Risk/Legal/Operations.
• Develop the local compliance function as the business grows.

Kenntnisse

MiFID II compliance

Regulatory governance

Stakeholder management

Regulatory engagement

Policy development

Ausbildung

Bachelor's degree in Finance/Law

Jobbeschreibung

We are a digital brokerage with an established presence across multiple international markets.

As part of our European expansion, we are establishing a new regulated investment business in the Netherlands and are looking for an experienced Chief Compliance Officer (CCO) to lead the compliance workstream throughout the licensing process and build the compliance function following authorization.

The Role

As Chief Compliance Officer, Europe, you will work closely with the Board, senior management, legal counsel, external advisors and the Dutch regulator throughout the licensing process.

You will lead the development of the compliance framework, policies and governance arrangements required for authorization and, once licensed, oversee the firm's ongoing regulatory compliance and compliance culture.

What You'll Do

Licensing & Regulatory

• Lead the compliance workstream for the Dutch entity licensing application.
• Serve as a Company Director of the Dutch regulated entity, with responsibility for fulfilling applicable director requirements as part of the licensing and authorization process.
• Develop and maintain compliance-related sections of the business plan, policies and regulatory submissions.
• Engage with the relevant Dutch regulator, including regulatory meetings, interviews and information requests.
• Establish the governance, compliance and control framework required for authorization and day-one operations.
• Advise the Board and senior management on regulatory requirements and compliance risks.

Ongoing Compliance

• Establish and oversee the firm's compliance framework and monitoring program.
• Ensure compliance with applicable MiFID II, Dutch Wft, client asset/client money safeguarding and AML/CTF requirements.
• Provide compliance advice on products, customer journeys, marketing and business initiatives.
• Oversee regulatory developments, compliance risks, remediation and regulatory reporting.Work closely with Risk, Legal, Operations, Finance and Group Compliance to maintain an effective control environment.
• Establish and develop the local compliance function as the business grows.

What We're Looking For

• 10+ years of relevant experience in financial services compliance, ideally within digital brokerage, securities, investment services, custody, wealth management or another MiFID-regulated environment.
• Strong knowledge of MiFID II, Wft, client asset/client money requirements and AML/CTF.
• Experience engaging directly with financial regulators and/or supporting or leading a licensing or authorization process.
• Proven experience building compliance frameworks, policies and governance structures from the ground up.
• Strong understanding of regulated investment or brokerage businesses and their operating models.
• Strong stakeholder management and communication skills, with the ability to work effectively with regulators, senior management and external advisors.
• Hands-on, pragmatic and comfortable working in a fast-moving international environment.
• Fluent English required; Dutch language skills and experience with Dutch regulators are strong advantages.

The Opportunity

Join at the ground floor of a new European regulated investment business, with direct ownership across licensing, compliance framework, regulatory engagement and post-authorization compliance.