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.

• 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)

• 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

• 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

We also offer opportunities across our service lines and our international network of offices.