- Noord-Holland
- Compliance
- 80-100K
- 100-120K
- Interim
Senior Compliance Officer
Your role
As Senior Compliance Officer, you will be a senior member of the Business Compliance team that supports the Corporate Banking unit within the organisation. This team provides guidance, advice and challenges the business on a vast range of compliance areas and monitors their adherence to regulatory and policy requirements. The position requires you to take a lead role in connecting with and managing stakeholders in the various CB units, and works closely with them to continuously develop and improve the management of compliance risks.
The focus of this role is on the general banking and the lending side of Corporate Banking (not the capital markets side). Furthermore, the role is focused on a wide range of compliance topics, including Conflict of Interest, Duty of Care, Market Abuse, Cross Border Banking, Privacy and Sustainability amongst others.
Client Integrity / Financial Crime related topics (AML, Sanctions) are not in scope, as these are dealt with by a separate team within CB Compliance.
Your role
- To provide Compliance advice, guidance and challenge to the business, both at a strategic or process level and at the level of an individual employee or transaction (e.g. conflicts of interest, information barriers, outside business activities, personal account dealings, cross border banking, etc).
- Contribute to and oversee the execution by the business of the Systematic Integrity Risk Analysis (SIRA).
- Participate in Product Reviews and Change Risk Assessments to identify compliance risks and ensure they are being appropriately addressed.
- Ensure that the business has documented the appropriate compliance controls and that the effectiveness of the controls is adequately monitored and tested.
- Employ various sources of information (e.g. MI reports, dashboards) to monitor compliance risks and issues in the business and adherence to key compliance procedures and controls.
- Where compliance issues / control gaps are identified, you will advise and oversee the business in taking appropriate remedial action.
- Contribute to effective and insightful Compliance reporting.
- Be involved in the management of compliance incidents, providing advice and guidance.
- Represent Compliance in Business MT meetings and Committees.
- You'll provide training and support to the business to continuously enhance awareness and understanding of compliance risks and regulations.
- Continuously liaise with business stakeholders to ensure appropriate progress on mitigation of identified compliance risks and issues.
- Provide input into the development and maintenance of Compliance policies.
- Participate in various projects and working groups within the Compliance department and in the CB business.
What you bring to the role
You have excellent communication skills and are used to interacting with senior management, also if it pertains to challenging and difficult themes. You thrive when working with others, yet are also able to think and act autonomously. Possessing the requisite self-reflection, you also want to continue developing and improving in your career. Lastly, your keen analytical skills will enable you to get to the crux of a problem quickly, draw the appropriate conclusions and place things in perspective.
Specific requirements:
- A Master’s degree in Business, Law or other relevant field;
- At least 8 years work experience, of which at least 3 years in a Compliance relevant position in the banking sector and/or in a corporate banking business/commercial role;
- You have solid knowledge of relevant laws and regulations, including the Wft, MiFID II, MAD/MAR, Wwft, GDPR, Sustainable Finance Regulations and EBA guidelines;
- You have experience in working with operational risk management processes (e.g. risk assessments, controls, testing, issue management) and can guide the business in the application of these to effectively manage compliance risks;
- You have a good understanding of transaction banking and corporate lending products. Understanding of specialized lending products such as acquisition finance, project finance and trade finance or advisory businesses such as corporate finance/M&A, equity capital markets and debt capital markets is also beneficial;
- You are fluent in Dutch and English;
- You have the ability to identify and clearly explain regulatory compliance risks;
Company profile
Our client is a reliable partner - a personal bank in the digital age. And as a driver of the sustainability transition and an advocate of equal opportunities. Clients have been able to count on them for the past 200 years, especially when they need to take financial decisions.
What's being offered
- A gross monthly salary on the basis of a 40 hour work week of €85.000 - €122.000 including vacation pay and benefit budget. (A 36 hour work week is also possible). The Benefit Budget is 11% of your salary and allows you to acquire additional employment benefits. If you make no purchases or reservations in the Benefit Shop in a given month, you are paid one twelfth of your Benefit Budget that month.
- Five weeks of vacation per year - you also have the option to purchase an additional four weeks vacation per year.
- Personal development Budget of €1,000 per year, which you can accumulate up to € 3,000.
- Hybrid working is applicable
- An annual public transport pass with free public transportation throughout the Netherlands.
- An excellent pension scheme.