About the Role
We are seeking a highly motivated “Compliance Specialist” to strengthen our Compliance function within a fast-paced proprietary trading environment. As a firm regulated by both the Autoriteit Financiële Markten (AFM) and De Nederlandsche Bank (DNB), we operate at the forefront of financial markets while adhering to the highest regulatory standards. You will participate in internal and external communication to partners and vendors from Amsterdam regarding our business compliance and trading operations. You’ll work directly with a range of functions, including Execution Trading, Business and DevOp to design, optimize compliance tools and processes. You will provide regulatory insight and analysis specific to the Netherlands.
This role is ideal for someone with approximately 3 years of experience working at AFM or DNB, who is now looking to apply their supervisory insight to a hands-on, entrepreneurial trading firm.
COMPENSATION – Competitive salary, plus quarterly bonus based on individual performance and contribution towards success of others and the firm.
Responsibilities
Regulatory Compliance & Oversight:
- Support the design, implementation, and maintenance of the firm’s AFM and DNB-related compliance frameworks, policies, and procedures.
- Monitor regulatory developments and assess their impact on the firm’s activities, especially around MiFID II, MAR, DORA, Prudential requirements, and algorithmic trading.
- Conduct ongoing compliance monitoring, thematic reviews, and internal control assessments.
- Act as a trusted advisor to the business on compliance risks related to trading activities, new products, and operational changes.
- Provide timely guidance on regulatory obligations, licensing, and reporting requirements.
- Collaborate with Legal, Risk, Trade Support, Operations, and Technology teams to reinforce a strong culture of compliance.
Regulatory Reporting & Interactions:
- Assist in preparing and/or reviewing regulatory filings, notifications, and reports for AFM and DNB.
- Assist in managing communications with regulators, including audits, information requests, and periodic meetings.
- Ensure accurate maintenance of regulatory records and internal documentation.
- Assist in creating tailored compliance training sessions for traders, developers, and support teams.
- Promote awareness of market conduct rules, operational compliance obligations, and firm-wide standards.
Qualifications
- Approximately 3 years of professional experience at AFM or DNB, ideally within market supervision, prudential supervision, or conduct oversight.
- Good knowledge of the Dutch and EU financial regulatory landscape, including MiFID II, MAR, DORA and prudential supervision frameworks.
- Ability to assess regulatory requirements and their impact on the firm's existing business and potential new business ventures.
- Ability to conduct gap analysis and assessment of the compliance program
- Experience with trading venues, market structure, algorithmic trading, or derivatives markets is a plus.
- Analytical skills, sound judgment, and the ability to interpret regulatory expectations in a practical manner.
