Regulatory Compliance Officer – Active Asset Manager – Zaandam

Active Asset Manager; Zaandam; Presencial; EUR 120 000 - 190 000; Tempo integral

Resumo da oferta

Active Asset Manager in the Netherlands seeks a senior compliance professional to oversee regulatory reporting, risk, and governance for the Dutch entity. You will act as the primary adviser to the Board and regulatory contact, ensuring adherence to Wft, AIFMD, and MiFID II while coordinating with global teams and regulators.

You will drive policy updates, training, and risk monitoring, reporting directly to the Board with exposure to senior leadership in Europe and the US.

Qualificações

• Bachelor's degree or higher in Law, Finance, Business, Accounting or Management.
• 5+ years of regulatory compliance experience within an AIFM.
• Strong knowledge of the Wft, AIFMD and MiFID II.
• Ability to assess regulatory impact with commercial judgement.
• Confident working with Boards, committees and regulators.
• Fluent in Dutch and English, with excellent written and verbal skills.
• Highly organized with ownership and accountability.

Responsabilidades

• Own the full regulatory reporting cycle, including Annex IV and related filings.
• Act as main contact with the AFM and Dutch regulators.
• Advise the Board on regulatory impact of new products, mandates, and jurisdictions.
• Monitor regulatory developments and translate into policy updates.
• Oversee compliance with Global Manual and local policies.
• Lead quarterly compliance and risk monitoring and prepare Board reports.
• Escalate material issues to the Board and Deputy CCO.
• Collaborate with global Tech on DORA and GDPR.
• Coordinate with Global AML and local AML obligations.
• Design and deliver compliance training for the Dutch office.
• Coordinate with HR on Health and Safety obligations.

Conhecimentos

Regulatory compliance

AIFM experience

Wft knowledge

MiFID II knowledge

Board interaction

Formação académica

Bachelor's degree in Law or Finance or Business

Descrição da oferta de emprego

The Opportunity

We're representing a leading global active asset manager with a long track record, significant assets under management and institutional and retail clients in more than 50 countries. The firm's investment approach rests on active management supported by proprietary research. Its culture is entrepreneurial, and every employee is encouraged to take ownership of their ideas and development.

Our client's Dutch entity is authorised by the Dutch Authority for Financial Markets (AFM) as an Alternative Investment Fund Manager (AIFM). It also has MiFID top-up permissions for individual portfolio management, investment advice, and reception and transmission of orders, and it has a European branch network.

This is a senior position responsible for the Dutch entity's regulatory compliance and risk framework. You'll make sure the entity meets all its obligations under the Wft (Wet op het financieel toezicht) and its underlying decrees, as well as AIFMD and its delegated and implementing acts. You'll be a key adviser to the Board and the main contact for the regulator.

Reporting Line

You’ll report directly to the Board of Directors of the Dutch entity, with functional reporting to the group's Deputy Chief Compliance Officer and the local Managing Directors. The role offers direct exposure to senior leadership in Europe and the US.

Key Responsibilities

• Own the full regulatory reporting cycle, including Annex IV, Benchmark Values Reporting, the DORA Register, ICAAP and related filings
• Act as the main contact with the AFM and lead communication with Dutch regulators on compliance and risk matters
• Advise the Board on the regulatory impact of new products, mandates, client jurisdictions and organisational changes
• Monitor and interpret regulatory developments, and turn them into practical updates to policy and the local Compliance Manual
• Oversee compliance with the group's Global Compliance Manual and local policies across the entity
• Lead the quarterly compliance and risk monitoring programme, and prepare reports for the Board and the Compliance, Risk and Internal Controls Committee
• Escalate material compliance and risk issues to the Board and the group Deputy CCO
• Work with global Technology teams on the DORA and GDPR frameworks
• Work with the Global AML xentxcn Officer to make sure local AML obligations are met
• Design and deliver compliance training across the Dutch office
• Coordinate with group HR on Health and Safety obligations

Profile

• Bachelor's degree or higher in Law, Finance, Business, Accounting or Management
• 5+ years of regulatory compliance experience within an AIFM
• Strong technical knowledge of the Wft, AIFMD and MiFID II
• Able to work independently and assess regulatory impact with sound commercial judgement
• Confident working with Boards, committees and regulators
• Fluent in Dutch and English, with excellent written and verbal communication skills
• Highly organised and precise, with a strong sense of ownership and accountability