Job Properties
  • Job Type
    Full-time Position
  • Category
    Cleaning & Landscaping
  • Languages
  • Experience Required
  • Degree Required
    • Province
    • Date Posted
      August 31,2021
    • JSS
    • VISA
    • IMG_6430
    • Career Consultation
    • CV CHECK

    Compliance Officer

    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.

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