Head of Compliance - Saxo Bank Netherlands

Would you like to be part of a Global Compliance team where you will get an important role in enabling the development of compliant business? Are you up for a leadership role in an actively growing business? And are you triggered by improving and further strengthening the Compliance function in a dynamic medium-sized international investment bank? If the answer is yes, you might want to consider becoming Head of Compliance for Saxo Bank Netherlands.

The role:

Saxo Bank Netherlands is an important and expanding branch in the Saxo Bank Group. The position, based in Amsterdam, is to lead the Compliance team in the Netherlands business and be part of the Group Compliance European Leadership team. The main task of the local Compliance team is to support the local business in developing and running the business in the Netherlands within the requirements of the Group and local regulators and make a sustainable contribution to the strategic objectives within Saxo’s risk appetite. Compliance acts as a sparring partner for the business and management and participates and contributes to a variety of projects.

As an investment platform, Saxo is focused on different target customer groups across a wide range of investment products. They must monitor potential market abuse and be proactive in its prevention. They have a duty of care towards their clients, ensuring their interests are prioritised across Saxo’s product range and associated information. Furthermore Saxo must stay protected from exposure to money laundering, terrorist financing, and other criminal or socially improper money flows. As Head of Compliance, you will enable your team in supporting the business to comply with laws and regulations through advice, recommendations, drafting policies, conducting investigations and monitoring Compliance in accordance with these policies.
With over 200,000 clients, the Netherlands is the largest branch within the Saxo Group. You will report to the Head of Compliance Europe, based in Copenhagen, where you will travel on a quarterly basis. There is regular collaboration and consultation with the other Saxo offices within the EU (Belgium, France, Italy and the Czech Republic).

Responsibilities:

• Develop and support a functional Compliance team in the Netherlands
• Liaise closely with Group Compliance and other European Compliance team leads
• Oversee regulatory Compliance initiatives, particularly in relation to AML, MiFID, Market Abuse, Investor Protection and other applicable frameworks
• Oversee delivery on the activity plans (monitoring, advice memos, training etc.)
• Develop close collaboration with a broad range of local and global stakeholders
• Lead internal and external strategic regulatory engagements including managing relationships with regulators
• Be responsible for regular Compliance/AML reporting to the CEO and other stakeholders
• Actively participate in regulatory affairs