Regulatory Compliance and Risk Specialist

Loomis, Sayles & Company; Utrecht; Hybride; EUR 95 000 - 125 000; Plein temps

Avantages offerts par ce poste

Discretionary annual incentive

Comprehensive benefits package

Hybrid work schedule

Résumé du poste

Loomis Utrecht seeks a Regulatory Compliance and Risk Specialist to support compliance with Wft, AIFMD and MiFID II for the Utrecht operation. The role reports to the Loomis Utrecht Board of Directors with functional ties to Loomis US Deputy CCO and Managing Directors of Loomis Utrecht.

The position focuses on regulatory filings, monitoring changes, updating compliance documentation, training, and coordinating with regulators in Dutch.

Qualifications

• Bachelor's degree in Business, Finance, Accounting, Management or Law.
• Minimum 3 years regulatory compliance experience at an AIFM.
• Working knowledge of Wft and AIFMD regulations.
• Working knowledge of MiFID II requirements.
• Detail oriented with strong organizational skills.
• Fluent written and spoken Dutch and English.

Responsabilités

• Prepare and submit required regulatory filings (Annex IV, Benchmark Values Reporting, DORA Register, ICAAP).
• Monitor regulatory changes through newsletters and industry notices.
• Update the Loomis Utrecht Compliance Manual in English.
• Oversee compliance with the Loomis Sayles Global Compliance Manual Policies and Procedures.
• Provide compliance training to Loomis Utrecht employees.

Connaissances

Regulatory compliance

Dutch language

English language

Regulatory reporting

Formation

Bachelor's degree in Business, Finance, Accounting, Management or Law

Description du poste

About the Role

Loomis Sayles & Company, L.P. (“Loomis US”), located in Boston, U.S., has a subsidiary in Utrecht, Netherlands (“Loomis Utrecht”), which is authorized by the Dutch Authority for Financial Markets (“AFM”) as an alternative investment fund manager (“AIFM”). Loomis Utrecht has also been approved to provide individual portfolio management, investment advice, and reception and transmission of orders (“MiFID top-up services”). Loomis Utrecht also has a branch office in Paris, France.

The Regulatory Compliance and Risk Specialist will be responsible for supporting compliance with regulatory and reporting requirements applicable to an AIFM under the Dutch Financial Supervision Act (Wet op het financieel toezicht) (the “Wft”), the relevant underlying decrees, the Alternative Investment Fund Managers Directive (“AIFMD”), and its delegated and implementing acts.

About the Team

The Regulatory Compliance and Risk Specialist will report to the Loomis Utrecht Board of Directors with functional reporting to the Deputy Chief Compliance Officer of Loomis US and the Managing Directors of Loomis Utrecht.

Job Responsibilities

• Prepare and submit required regulatory filings, including Annex IV, Benchmark Values Reporting, the DORA Register, ICAAP, and related filings.
• Monitor regulatory changes that may impact the firm through newsletters, industry notifications, and other relevant sources.
• Update the Loomis Utrecht Compliance Manual in English to reflect applicable regulatory developments, as needed.
• Oversee Loomis Utrecht employees’ compliance with the Loomis Sayles Global Compliance Manual Policies and Procedures, including the Loomis Utrecht Compliance Manual.
• Provide compliance training to employees of Loomis Utrecht.
• Monitor completion of quarterly compliance and risk checklist items for reporting to the Loomis Utrecht Board and the Compliance, Risk and Internal Controls Committee.
• Prepare compliance reports for quarterly committee meetings.
• Communicate with regulators in Dutch on compliance and risk related matters, as needed.
• Escalate compliance or risk related issues, as needed, to the Loomis Utrecht Board and the Loomis US Deputy CCO.
• Work with Loomis US Technology teams to support DORA and GDPR compliance.
• Work with the Global AML Officer to monitor compliance with local AML requirements.
• Coordinate with the Loomis UK HR Partner on duties associated with Loomis Utrecht’s Health and Safety requirements.

Qualifications & Education Requirements

• Bachelor's degree in Business, Finance, Accounting, Management or Law
• Must have at least 3 years of regulatory compliance experience at an AIFM
• Working knowledge of Wft and AIFMD regulations
• Working knowledge of MiFID II requirements
• Detail oriented with strong organizational skills
• Must have very strong written and oral communication skills in both Dutch and English
• Must have the ability to determine regulatory impacts of new products, new accounts, new employee roles and new client jurisdictions
• Must have the ability to work independently

Additional Requirements

• The position follows a hybrid work schedule, with three days working from the office, including Fridays, and two days working from home. The hybrid work schedule is subject to management discretion, and office-based days may increase in the future.

Loomis Sayles is committed to offering competitive and equitable compensation. The salary range for this position is €95,000 - €125,000 EUR. Your starting salary will be based on your experience, skills, qualifications and local benchmarking. This position is also eligible for a discretionary annual incentive award, which is based on individual and company performance. In addition to your compensation, you will have access to a comprehensive benefits package designed to support your health, well-being and financial security.