European Chief Compliance Officer — Licensing & Regulation

Fintech Confidential; Amsterdam; On-site; EUR 150,000 - 200,000; Full time

Job summary

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.

Qualifications

• 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.

Responsibilities

• 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.

Skills

MiFID II compliance

Regulatory governance

Stakeholder management

Regulatory engagement

Policy development

Education

Bachelor's degree in Finance/Law

Job description

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.