CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Compliance, Risk, Start-up, global exchange, AFM, trade, equities, derivitives, fx, etf, indices, DNB, De Nederlandsche Bank, risk, compliance
♦ Head of Compliance & Risk, Amsterdam ♦
♦ The Role ♦
You will report to a senior member UK/EMEA Compliance team while overseeing compliance for the Amsterdam office, which is authorised by the AFM. The ideal candidate will have significant regulatory experience with regard to financial markets and products, be familiar with AFM and European rules and Market Abuse requirements, and be able to undertake market supervision of participant activity, including trade surveillance.
♦ Duties ♦
Hold the (Compliance Oversight) function for our Amsterdam office
Help structure and build the function
Provide guidance on and implement controls relating to all AFM rules applicable to an authorised exchange.
Assist the business with further developing regulatory solutions and ensure continued and ongoing regulatory compliance.
Respond to participant enquiries, providing guidance in relation to the operation of the platform and its Rulebook
Work with your colleagues to increase the profile of the platform
Provide advisory compliance services to the business
Analyse the impact of developing regulatory changes
Develop and streamline new and existing compliance processes
Act as the second line of defence in a dynamic, forward thinking business
Keep abreast of jurisdictional changes and challenges throughout Europe and beyond, working closely with legal
Attend industry events and round-tables
Conduct continuing education for sales and product
♦ Your Background ♦
Strong understanding of one or more of the following asset classes: Equities, Derivatives, FX, Indices, ETF
Familiarity with the financial markets, electronic trading, and AFM and EU regulatory developments
Experience responding to regulatory and AFM changes and enquiries
A track record of working with and advising senior business people on compliance matters
Experience in drafting policies, procedures and manuals, along with preparing reports for regulatory bodies and internal management
The ability to advise on regulatory changes and developments
An analytical mind, the ability to solve complex problems and streamline processes
Internal Number: 4478989
eFinancialCareers is a career site specializing in financial services.