Senior Compliance Manager

Company Description

IQ-EQ is a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices and private clients operating worldwide.

Job Description

The Senior Compliance Manager is part of the Compliance Team and reports to the Compliance Leader.

The Senior Compliance Manager is a critical role in the compliance team ensuring that the Netherlands business operates within the guidelines set by the Dutch Central Bank and is able to anticipate the upcoming changes in the industry. Furthermore, the role will work closely with Group compliance leaders to ensure that the overall compliance framework in the Netherlands is robust and operates within both the NL and Group standards.

Key Responsibilities

• Responsible for developing, determining and implementing risk and compliance legislation, guidelines, internal strategy and helping in implementing policies of IQ EQ NL; Together with the local Compliance leader and the team, responsible for implementing legal and regulatory requirements, Group guidelines and internal strategy, and for designing and maintaining R&C framework.
• Advise, challenge and guide local management on acceptance of clients in line with applicable legislation and regulation and Group and local policies and procedures;
• Advise the local management on new and evolving risk and compliance policies and provide guidance on their practical implementation in the day to day;
• Ensure risk and compliance awareness and cooperation within IQ-EQ NL staff (approximately 160 FTEs);Contribute to the development of compliance, risk related trainings of personnel;
• Contribute to annually setting up and implementing IQ-EQ NL’s Compliance Charter, The Compliance Monitoring Plan, SIRA and other risk analyses;
• Attend weekly client acceptance meetings and monthly risk and compliance meetings as required;
• Prepare and implement the annual Compliance Monitoring Planner (CMP) based on local requirements and Group guidelines, monitor and report the items of the CMP to the Management;
• Determine, prepare, write and implement compliance- and risk procedures, manuals, forms, monitoring- and quality plans;
• Provide pro-active advice to the client teams and management team on risk and compliance issues, new legislation and guidelines in order to anticipate and respond on national and international developments;
• Together with the Compliance Leader maintain contact with IQ-EQ NL’s Dutch regulators and peers: DNB, AFM and Holland Quaestor (HQ);
• Arrange and attend periodic audits and trainings by DNB, AFM and HQ;
• Preparation and filing of FIU reporting;
• Consult with the internal subject matter expert pools as necessary for procedural and legal assistance;
• Communicate and provide guidance to the client teams on changes to policies and relevant upcoming regulatory or legal changes;
• Advise IQ-EQ’s client teams in implementing IQ-EQ Group policies in local procedures;
• Oversee, manage and respond to ad hoc queries from key stakeholders, including the Regulators and Group Compliance;
• Proactively participate in promoting a data-driven and constructive “pro-Compliance and risk” culture in the organisation, especially assisting Client teams in incorporating all compliance standards in their ways of working
• Proactively manage own development, encompassing both technical and leadership requirements to a level appropriate to the role and which promotes IQEQ values
• Contribute and participate to R&C governance and committees (RCC)
• Contribute to update of R&C dashboards (for local & regional management, and Group R&C)

Key competencies required for role

• Ensures Accountability – Holding self and others accountable for meeting commitments
• Business Acumen - Interpreting and applying understanding of key financial and operational indicators to make better compliance and business decisions
• Drives Engagement – Creating and supporting a working environment where people are motivated to do their best to help the organisation achieve its objectives
• Manages Complexity – Making sense of complex, high quantity and sometimes contradictory information to effectively solve problems

Qualifications

• We are looking for passionate person with a high level of “connectivity”, who wishes to excel, both personally and for (internal) clients;

• Takes ownership and has a natural drive for results;
• Has at least 6 years’ experience in a similar (matrix, international) environment;
• Master’s degree in Dutch Law; a Certified Compliance Officer education (CCP or similar) is required;
• Profound knowledge of Wft and Wwft (CDD) regarding onboardings of Fund Structures and their participants is a must, knowledge of WTT is required
• Ability to work under pressure and to manage various and conflicting priorities in a fast-paced environment, while meeting deadlines and quality standards;
• Be trustworthy team player, flexible and a fun colleague to work with;
• Excellent communication skills, both verbal and in writing, in English and Dutch
• Capable of giving presentations and address and negotiate on all related subjects in own area of expertise at internal meetings
• Management skills

Additional Information

At IQ-EQ we want you to reach your full potential. We offer an inclusive and diverse environment to support your career aspirations. With a strong emphasis on continuous learning and a holistic approach to your professional and personal development. We also offer opportunities across our service lines and our international network of offices.