JOB DESCRIPTION
Compliance Officer, Core
Flow Traders is looking for a Junior Compliance Officer with a focus on Core Compliance duties to join our Compliance team in our Amsterdam office. In this role you will be part of the second line of defence (2LoD) which comprises oversight and compliance functions.
Your core duty will be to run processes and controls relating to core compliance functions in the firm. Specifically, you will be responsible for personal transactions monitoring, gifts and entertainment monitoring, open period administration, communications surveillance, and procedures related to market soundings and associated cleansing. You will directly report to the Team Lead AML & Monitoring.
What you will do
- Review disclosures made by EMEA employees relating to conflicts of interest, gifts and entertainment, and personal transactions
- Perform monitoring tasks related to the enforcement of policies relating to conflicts of interest, gifts and entertainment, and personal transactions
- Investigate and escalate exceptions to Team Lead AML & Monitoring and Head of Compliance EMEA
- Co-operate with Regulatory Compliance team to update relevant policies and procedures
- Produce monthly management information
- Administer and facilitate requests made by employees during the open period
- Assist the Team Lead in promoting awareness of core compliance obligations in the wider organization by organizing annual and targeted trainings
What you need to succeed
- University degree in Law, Business Administration or other relevant field
- Previous experience with core compliance work is a strong plus
- Keen interest in Financial Markets
- An independent self-starter with high regard to company policies and regulatory framework
- Strong analytical and communication skills
- Strong investigative and prioritization skills
- Hands-on, proactive, motivated and fun to work with
Flow Traders does not accept unsolicited resumes from any professional staffing or search firms. All resumes, and any other information identifying potential candidates, submitted to any employee at Flow Traders via-email, the Internet or directly without a valid and signed search agreement will be deemed free to contact by Flow Traders without any restrictions and no placement fee of any kind will be paid in the event the candidate is hired by Flow Traders.
Apply nowAny questions?
Contact Heather Swanson
