Ref: KM47057
Compliance Manager – Securities & Trading Compliance
| Sector | Finance(Banking/Securities/Insurance) |
|---|---|
| Type | Full-time, Temp/Contract/Project |
| Location | Netherlands - Amsterdam |
| Salary (Annual) | €80,000 - 90,000 / Year |
This role offers a unique opportunity to be involved from an early stage, supporting the business by building and operating the compliance framework for equity brokerage activities under EU regulations.
The position is well-suited to a hands-on compliance professional who enjoys working in a fast-growing, small-team environment.
Ref;KM47057
TYPE:
• Fixed-term contract (initial 1-year contract)
Possible extension depending on requirements
SALARY:
• €80,000 – €90,000 per annum, depending on experience and qualifications
START:
• Q1 2026 (planned)
LOCATION:
• Amsterdam, the Netherlands
• Hybrid working model (minimum 3–4 days in the office initially)
Key Responsibilities
This role focuses on the day-to-day operation and development of compliance functions related to equity brokerage activities under EU regulations.
• Maintain and update compliance policies, procedures, and regulatory registers
• Operate compliance processes in line with MiFID II, Market Abuse Regulation, and other relevant EU regulations
• Conduct trade and communications surveillance to identify potential market abuse or misconduct
• Perform risk-based compliance monitoring and testing activities
• Liaise with Dutch regulatory bodies and relevant industry associations
• Deliver internal compliance training and awareness programmes
• Prepare compliance reports for the Head of Compliance and senior management
• Support cybersecurity and DORA-related compliance activities
Requirements
＜Essential＞
• Practical compliance experience within an equity brokerage / investment firm environment in Europe
• Solid working knowledge of EU securities regulations, including MiFID II and Market Abuse Regulation
• Hands-on, self-driven approach suitable for a startup environment
• Fluent business-level English (spoken and written)
＜Desirable＞
• Dutch language skills, or willingness to learn, for interaction with Dutch regulatory bodies
• Experience dealing directly with regulators or industry associations
• Background in startup or small-team environments
• Knowledge of DORA or cybersecurity-related compliance
• Experience working in international or multicultural settings
We may consider applications from people on Working holiday and graduate visas, depending on their experience.
TYPE:
• Fixed-term contract (initial 1-year contract)
Possible extension depending on requirements
SALARY:
• €80,000 – €90,000 per annum, depending on experience and qualifications
START:
• Q1 2026 (planned)
LOCATION:
• Amsterdam, the Netherlands
• Hybrid working model (minimum 3–4 days in the office initially)
Key Responsibilities
This role focuses on the day-to-day operation and development of compliance functions related to equity brokerage activities under EU regulations.
• Maintain and update compliance policies, procedures, and regulatory registers
• Operate compliance processes in line with MiFID II, Market Abuse Regulation, and other relevant EU regulations
• Conduct trade and communications surveillance to identify potential market abuse or misconduct
• Perform risk-based compliance monitoring and testing activities
• Liaise with Dutch regulatory bodies and relevant industry associations
• Deliver internal compliance training and awareness programmes
• Prepare compliance reports for the Head of Compliance and senior management
• Support cybersecurity and DORA-related compliance activities
Requirements
＜Essential＞
• Practical compliance experience within an equity brokerage / investment firm environment in Europe
• Solid working knowledge of EU securities regulations, including MiFID II and Market Abuse Regulation
• Hands-on, self-driven approach suitable for a startup environment
• Fluent business-level English (spoken and written)
＜Desirable＞
• Dutch language skills, or willingness to learn, for interaction with Dutch regulatory bodies
• Experience dealing directly with regulators or industry associations
• Background in startup or small-team environments
• Knowledge of DORA or cybersecurity-related compliance
• Experience working in international or multicultural settings
We may consider applications from people on Working holiday and graduate visas, depending on their experience.
Updated: 1 day ago
Ref: KM47057