About this role
TRV146 Compliance Officer (vacancy fulfilled) Posted 4 years ago Our customer is an independent European multi-asset class broker, primarily operating as an intermediary for Financial Institutions, Corporate Clients and (semi) Government bodies. With offices in Amsterdam, London, Zurich and Frankfurt, the company offers a range of Fixed Income, Interest Rates, Energy / Environmental, Exotics, Equity and Equity derivatives products, a variety of market information and data services. We are looking for a Compliance Officer. The Compliance Department is the key link between our experienced traders on the one hand and clients, external parties and internal stakeholders (back office, accounting) on the other hand. The primary responsibility of the department is to facilitate and control the client onboarding process and to ensure the company is being compliant with all relevant laws and regulations, starting with handling KYC-requests to annual client renewal, regulatory reporting etc. Additionally, the small experienced team has an important role in facilitating the operational environment, where several inhouse systems are operated and different internal procedures apply. Job description: - to serve all front desks, regulated and non-regulated products and instruments. - Start up and monitor KYC process; - Maintaining onboarding documentation; - Communications with prospects and (internal) brokers; - Assessment of client onboarding risk; - Preparing 'difficult' cases with high risk; - Annual renewal process and maintenance of client database and documentation. Profile: - Bachelor degree (WO) in Law/Economics or equivalent - 0-5 years working experience - Excellent communication and writing skills in Dutch and English - Affinity with the financial industry - Strong analytical skills - Ability to work accurately, take initiative and solve problems effectively - Ability to work independently and as an assertive team player - Experi...