Senior Compliance Officer - Amsterdam
Posted Jul 6, 2018 - Requisition No. 67986
Bloomberg’s Legal Department plays a critical role in supporting our businesses and operations around the world. We move quickly and thoughtfully to help address a variety of complex legal issues that come with being the world’s leading financial news and information company. Our team is made of up of talented and hardworking professionals who think creatively and work collaboratively in an open environment to deliver results, drive innovation, and solve difficult problems. We recognize the value of diversity and inclusion and the importance of giving back to our communities as evidenced by our award-winning pro bono program.
This role is within Bloomberg's global group Compliance department and is a senior Compliance Executive role, based in Amsterdam, and reporting into a senior Compliance Manager in London. The role will have responsibilities in terms of the two regulated entities in The Netherlands - BTFE and BDRS.
The role as the Compliance and AML Reporting Officer ("CARO") of BTFE is responsible for the compliance function and anti-money laundering function of this entity that operates a multilateral trading facility (trading venue).
The role as BDRS Compliance Officer has responsibility for the compliance function of BDRS BV, which offers services for trade and transaction reporting as an authorised APA and ARM.
Both roles have overall responsibility for overseeing compliance with regulatory matters, and the senior Compliance executive has the necessary authority, resources and expertise to support his/her compliance responsibilities.
The senior Compliance Executive in Amsterdam will have management responsibility for a Compliance Officer in Amsterdam, so that Compliance coverage and support is provided to the businesses conducted in The Netherlands.
We’ll trust you to:
- Review the regulatory environment and report to BTF BV’s Management Board on all compliance matters including reporting on market abuse matters
- Oversee the real-time and post-trade monitoring of trading activity on the platform to ensure integrity of the platform and capture abusive behaviour
- Oversee of the systems for identifying breaches of BTF BV's Rulebook and of responses to such breaches
- Establish, implement and maintain adequate policies and procedures sufficient to ensure compliance of BTF BV and its staff with their regulatory obligations and for countering the risk that BTF BV might be used to further financial crime
- Identify any deficiencies and reporting these to the relevant Management Board as soon as is practicable
- Maintain adequate records required for the operation of a Multilateral Trading Facility
- Review the regulatory environment and report to BDRS BV’s Management Board on all compliance matters
- Monitor changes to EU, Netherlands, AFM and other applicable financial services rules and regulation
- Advise and assist senior management, the relevant Management Boards and others responsible for carrying out regulated activities to comply with the regulatory obligations
- Maintain relationships with the AFM and other regulatory authorities
- Ensure all required notifications are made to the AFM
- Train staff on anti-financial crime matters and ensure that staff members are familiar with BTF BV's anti-money laundering policies and procedures
- Where necessary, make reports to the Netherlands Financial Intelligence Unit
- Work closely with colleagues within the global Compliance team, developing and maintaining Bloomberg compliance standards
You’ll need to have:
- Experience in a legal, compliance or regulatory policy role
- Fluency in Dutch and English
- Strong knowledge of EU financial regulation related to financial markets, trading and reporting
- Excellent oral and written communication skills
- Ability to effectively manage and mentor compliance staff
- High ethical standards
- No disqualifications that would prevent successful AFM screening (statutory or otherwise)
If this sounds like you:
Apply if you think we're a good match. We'll get in touch to let you know what the next steps are, but in the meantime feel free to have a look at this:
Bloomberg is an equal opportunities employer and value diversity at our company. We do not discriminate on the basis of race, religion, colour, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.