Compliance Officer

About the job

Within the Compliance team of our Dutch branch, we are looking for a Compliance Officer with a focus on Market Abuse, Product Governance, and Investor Protection (‘MiFID II’). Do you have at least 5 years of relevant work experience? Are you ready for a new step, in a dynamic medium-sized international investment bank? Then this could be the opportunity you are looking for

Our Compliance department plays a central role from the second line. Our main objective is to make a sustainable contribution to the strategic objectives within Saxo’s risk appetite. We achieve this by helping the organization comply with laws and regulations, providing advice and recommendations and conducting investigations. We act as a sparring partner for the business and management and participate and contribute to a variety of projects.

As an investment platform, we are focused on different target customer groups across a wide range of investment products. We must monitor potential market abuse and be proactive in its prevention. We have a duty of care towards our clients, ensuring we prioritise their interests across our product range and associated information. As a Compliance Officer, you will be essential in supporting the business through your advice, recommendations, drafting policies and monitoring compliance in accordance with these policies.

With over 200,000 clients, we are the largest branch within the Saxo Group. You will be joining a team of 6, and report to the Head of Compliance Netherlands. Regular collaboration and consultation take place with our colleagues from Group Compliance in Copenhagen and the other Saxo offices within the EU (Belgium, France, Italy and the Czech Republic).

Responsibilities

• Keeping policies and procedures regarding market abuse up to date
• Advising the 1st line on investor protection
• Assessing and reporting potentially suspicious client transactions (Market Abuse)
• Conducting (periodic) monitoring activities concerning the Compliance, Risk & Control Framework, mainly in the area of market abuse and investor protection
• Assisting in investigations by the regulator and other third parties
• Providing a 2nd line opinion during the Product review process
• Providing training and creating awareness for the 1st line on various compliance topics
• Participating in SME’s regarding Market Abuse and Treating Customers Fairly
• Conducting 2nd line investigations into the quality of 1st line processes and analyses, both locally and in collaboration with Group Compliance or other offices within the EU

Your profile

In a continuously changing environment, a wide range of skills is essential. We are seeking a professional with a passion for Compliance, particularly in the areas of Market Abuse, Product Governance, and Investor Protection. The ideal candidate should possess an academic degree and have knowledge of financial markets. They should have experience with European and national compliance laws and regulations related to market abuse and investor protection, specifically MiFID II. Additionally, at least five years of relevant work experience in Compliance within the financial sector, preferably at a broker or investment bank, is required. Knowledge and experience with investment products are also necessary. The candidate should be able to work independently as well as part of a team, demonstrating a collaborative and pragmatic approach. Enthusiasm, drive, and a hands-on mentality are crucial, along with strong analytical skills to understand complex issues. The candidate should be determined, results-oriented, and solution-oriented, with excellent verbal and written communication skills in both Dutch and English.

We get curious people invested in the world

When you work at Saxo, you become a Saxonian and part of a purpose-driven organisation, where good ideas are always taken seriously, and where you can make a true impact. We are invested in your development, and you can expect a robust career from day one when you join Saxo – no matter which role you take on.

You will join 2,500 other ambitious colleagues across 15 countries and become part of an international organisation. Working in Saxo, you will get to meet colleagues from many different cultures and backgrounds, and you should know that we value diversity and inclusion and see it as a genuine source of strength to drive growth, foster innovation and position us for long-term success.

We encourage an open feedback culture and supportive team environments enabling employees to grow and fulfil their career aspirations.

When you bring passion, curiosity, drive and team spirit, your learning journey will be dynamic and your career opportunities in Saxo will be immense.

At Saxo we don’t just offer a job – we offer an opportunity to invest in your future!

How to apply :

Click here to create an account and upload your resume and a short motivation. We look forward to getting to know you better!