Do you want to work for a premier boutique in in investment banking, investment management, and private wealth management? Are you an experience Compliance professional with well-developed communication skills? Then keep reading.
This company is seeking a Compliance Officer to oversee the compliance program for its newly formed Dutch entity which will house investment banking and investment management businesses. The Compliance Officer will report to the Chief Compliance Officer, UK and Europe, who will be based in London. Supporting a small but growing business, the Compliance Officer will be responsible for all aspects of the Dutch compliance program, with support from compliance colleagues in other offices and external resources as needed.
Tasks and responsibilities
Oversee all aspects of the Dutch compliance program, with a primary focus on core compliance and MIFID requirements
Provide support to the board of directors, including serving as secretary for board meetings and preparing board materials.
Establish and maintain compliance policies and procedures.
Represent the firm in dealing with Dutch regulators
Develop an understanding of the strategies, products, and operations for each business area as well as the strategic priorities of the firm.
Maintain frequent and transparent communications with the CCO, UK & Europe as well as Legal and Compliance colleagues in the US.
Provide support to the Global Head of Risk on risk management as it relates to the Dutch business
Monitor regulatory and industry trends that may affect the organisation
Bachelor's degree required
5+ years relevant experience, ideally in an investment bank or other similar financial services firm
FINRA licenses may be required; can be obtained subsequent to start date
Interest in understanding investment products and securities offered by William Blair
Sound judgment and risk awareness; pragmatic business acumen
Proactive self-starter, who can operate as the sole compliance professional in a small but strategically important office
Excellent interpersonal and communication skills
Ability to collaborate effectively and build consensus where needed
Strong analytical and problem-solving skills
Demonstrated ability to manage multiple priorities and work autonomously
You will be offered a market salary with excellent secondary benefits.
Are you interested in the role of Compliance Officer? Then apply as soon as possible.