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 the primary 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

• 10+ years in wholesale financial markets (including venues, exchanges investment banks, interdealer brokers), with specific compliance function experience
• Strong working knowledge of MiFID II/MiFIR (UK and EU), how it impacts trading venues and trading firms and how such rules apply differently between fixed income and non fixed income
• An understanding of both the UK and EU regulatory frameworks; Understanding of regulatory requirements impacting venue obligations (MAR 5) and DRSP (MAR 9), and pre/post-trade transparency for non-equity instruments and derivatives preferred
• 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) highly regarded
• EMIR/UK EMIR knowledge (clearing obligation, trade reporting, derivatives trading obligation) preferred
• Experience engaging with ESMA, the AFM, or another EU NCA on supervisory matters highly regarded
• Excellent written and verbal communication; confidence engaging with regulators and senior stakeholders
• Direct people management experience
• Comfortable using AI tooling to improve compliance workflows
• Advanced Microsoft Office proficiency
• Experience with Monday.com or similar project management tools, preferred
• Bachelor's degree or equivalent experience
• Must be legally authorized to work in the EU permanently without employment visa sponsorship required now or in the future

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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