Compliance Officer
About the job
Our Compliance department plays a central role from the second line. Our main objective is to make a sustainable contribution to the strategic objectives within Saxo’s risk appetite. We achieve this by helping the organization comply with laws and regulations, providing advice and recommendations and conducting investigations. We act as a sparring partner for the business and management and participate and contribute to a variety of projects.
As an investment platform, we are focused on different target customer groups across a wide range of investment products. We must monitor potential market abuse and be proactive in its prevention. We have a duty of care towards our clients, ensuring we prioritise their interests across our product range and associated information. As a Compliance Officer, you will be essential in supporting the business through your advice, recommendations, drafting policies and monitoring compliance in accordance with these policies.
With over 200,000 clients, we are the largest branch within the Saxo Group. You will be joining a team of 6, and report to the Head of Compliance Netherlands. Regular collaboration and consultation take place with our colleagues from Group Compliance in Copenhagen and the other Saxo offices within the EU (Belgium, France, Italy and the Czech Republic).
Responsibilities
- Keeping policies and procedures regarding market abuse up to date
- Advising the 1st line on investor protection
- Assessing and reporting potentially suspicious client transactions (Market Abuse)
- Conducting (periodic) monitoring activities concerning the Compliance, Risk & Control Framework, mainly in the area of market abuse and investor protection
- Assisting in investigations by the regulator and other third parties
- Providing a 2nd line opinion during the Product review process
- Providing training and creating awareness for the 1st line on various compliance topics
- Participating in SME’s regarding Market Abuse and Treating Customers Fairly
- Conducting 2nd line investigations into the quality of 1st line processes and analyses, both locally and in collaboration with Group Compliance or other offices within the EU
Your profile
In a continuously changing environment, a wide range of skills is essential. We are seeking a professional with a passion for Compliance, particularly in the areas of Market Abuse, Product Governance, and Investor Protection. The ideal candidate should possess an academic degree and have knowledge of financial markets. They should have experience with European and national compliance laws and regulations related to market abuse and investor protection, specifically MiFID II. Additionally, at least five years of relevant work experience in Compliance within the financial sector, preferably at a broker or investment bank, is required. Knowledge and experience with investment products are also necessary. The candidate should be able to work independently as well as part of a team, demonstrating a collaborative and pragmatic approach. Enthusiasm, drive, and a hands-on mentality are crucial, along with strong analytical skills to understand complex issues. The candidate should be determined, results-oriented, and solution-oriented, with excellent verbal and written communication skills in both Dutch and English.
