Senior Compliance Officer, EMEA & APAC Advisory

APAC during European hours. The successful candidate will report to the CCO, EMEA & APAC, and work closely with legal, regulatory affairs, and local compliance teams across multiple jurisdictions. The Senior Compliance Officer will play a critical role in helping the firm manage compliance risks while enabling continued business growth in a complex regulatory environment.

How You'll Help Take Us There

• Advisory

  • Serve as a key compliance contact for the business across EMEA

  • Advise on new initiatives, product launches, and regulatory change

  • Provide practical, commercially aware guidance on venue rulebooks, transparency regimes, DRSP obligations, and the interaction between MiFID II/MiFIR and EMIR frameworks, across both UK and EU regimes

• Incident Management

  • Own the day-to-day management of regulatory issues and incidents: assess what has occurred, recommend to the CCO whether notification is required, draft notifications, and track follow-up
  • Investigate potential non-compliance and escalate material issues with a recommended course of action

• Regulatory Engagement

  • Support the CCO in managing supervisory relationships with the FCA, AFM, ESMA, and cross-border licence regulators (FINMA, BaFin, CONSOB, AMF and others)
  • Prepare for supervisory visits, draft responses to information requests, and coordinate submissions across jurisdictions
  • Manage the firm's response to Dear CEO letters and supervisory priorities

• Reporting and Governance

  • Draft board reports and management information on compliance risk
  • Maintain and update compliance risk assessments
  • Provide written reporting to SMF 16 and 17 holders
  • Collaborate with the compliance monitoring team on findings and remediation

• Training, Licensing, and Coordination

  • Design and deliver compliance training
  • Draft and manage licence applications and variations
  • Coordinate with local compliance officers on cross-regional matters
  • Advise the onboarding team on financial crime requirements and support MLRO reporting

• The role requires transparent and collaborative working with the legal and regulatory affairs functions across all of the above responsibilities

What We're Looking For

• • Circa 10+ years in wholesale financial markets, with specific compliance function experience
  • Strong working knowledge of MiFID II/MiFIR (UK and EU), including venue obligations (MAR 5), DRSP requirements (MAR 9), and pre/post-trade transparency for non-equity instruments and derivatives
  • Experience working across both UK and EU regulatory frameworks and advising on the practical impact of divergence between the two
  • Excellent written and verbal communication; confidence engaging with regulators and senior stakeholders
  • Direct people management experience
  • Right to work in the EU without sponsorship
  The following qualifications and experience are strongly preferred:
  • Experience at or closely with a regulated trading venue, MTF, exchange, or market infrastructure provider (candidates from investment banks or inter-dealer brokers with genuine venue-facing experience will also be considered)
  • Familiarity with the trading venue regulatory perimeter in both the UK (RAO Articles 25(1)/25(2)) and the EU (MiFID II investment services framework)
  • EMIR/UK EMIR knowledge (clearing obligation, trade reporting, derivatives trading obligation)
  • Experience engaging with ESMA, the AFM, or another EU NCA on supervisory matters
  • Understanding of financial crime risks and related processes

What You Can Expect from Us

• Central location: Based in heart of Amsterdam on one of most beautiful streets alongside the canal
• Located in period building, fully renovated and modernly equipped
• View of the canal from the office
• Cool shopping and great place to eat nearby
• Very dynamic environment with all key functions are represented in the office (Sales, Business dev., Legal, Compliance, Risk, Ops,)
• Benefits competitive for local market.
• Augmented leave after completing each 5 years of service

Collaboration and innovation are integral to our success - it's how we got to where we are and how we'll maintain and grow our competitive advantage. We believe this best happens in an office environment. Employees in Legal & Compliance work in the office 3 or more days a week. This approach still allows for flexibility depending on the business function you work within but also helps us maintain a collaborative office environment long-term.

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