Senior Compliance Officer

1 week geleden

Amsterdam, Noord-Holland, Nederland IQ-EQ Voltijd
Job Description

Responsibilities

The Senior Business Compliance Officer role is initiated since first line compliance assurance is the basis of our service offering. The role is to assure continuous focus on both delivery and quality of first line compliance, for and within each of the operational teams.

The Senior Business Compliance Officer is responsible to securing proper fulfilment of Wwft and WTT compliance in the team, and promoting the quality, consistency and uniformity of methods and definitions applied in the registration of all related actions and documents (data quality) in the relevant tools (such as SERR and ANTrance).

Tasks

The Senior Business Compliance Officer

  • Assures the quality of the regulatory and procedural client due diligence during and outside the (periodic) compliance review process, and, if required in the onboarding process (in line with the WWFT and WTT). Educates and advises the members of the team to increase consistency and quality throughout the team.
  • Assures substantiation and documentation of all relevant parts of the structure and the UBO(s) of the relevant parts of the structure (and the client). Verifies integrity risk profile (SERR), transaction profile, source of funds, source of wealth and total net worth of UBO(s). Explains the purpose of each layer of the structure and the flow of funds (chart). Drafts PEP and bad press memos if required. Implements mitigating measures and enhanced due diligence whenever required.
  • Supports Client Service Managers with completing the Client Memorandum and Client Acceptance tab, ensuring that all assessments and conclusions are properly documented, and the Client Memorandum is snapshotted before the compliance review due date or before OCA.
  • Escalates non-conformities and behavioural issues to the line manager and/or project manager.
  • Performs overall client file reviews for the team.
  • Maintains close contact with the Compliance team (assessing the quality of compliance and keeping track of open items). Ensures proper follow-up of their advises and/or action points, specific SERR improvements and GRRC requirements, within the team.
Qualifications

Key competencies for the role

  • Action oriented
  • Communicates effectively
  • Being resilient
  • Interpersonal savvy
  • Plans and aligns
  • Organizational savvy

Key behaviours we expect to see

In addition to demonstrating our Group Values (Authentic, Bold, and Collaborative), the Senior Business Compliance Officer / Business Compliance Manager will be expected to demonstrate the following:

  • Having a can-do mentality, integrity, transparency, and a risk management mindset.
  • Being structured, well organized, proactive in approaching Client Service Managers and clients, and persistent.
  • Planning the first line compliance follow-up tasks needed and assuring execution.
  • Being the advocate for first line compliance and our procedures within the team.
  • Sharing compliance news, tips, frequently made mistakes and best practices with the team.
  • Supporting the guidance of the operational team members in the Netherlands and GCD in staying first line compliance adopters.

Required Experience

  • Excellent organisational, prioritisation and interpersonal skills.
  • Plans and aligns.
  • Strong communicator and influencer.
  • At least 3 years' experience working in a similar compliance related role in the financial services industry.
  • Preferably knowledge of or experience working in the (global) investor services industry.
  • Knowledge of the Wwft and preferably the WTT.
Additional Information

We are always look ahead and always encourage our people to look for ways to improve our business; here everyone's opinion counts, and we will value your contribution.

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.

  • DBNL Senior Compliance Officer Conduct Compliance

    1 dag geleden

    Amsterdam, Noord-Holland, Nederland ING Voltijd

    The OpportunityAs Senior Compliance Officer you will focus on both the 'what' and the 'how' of the content areas within the Conduct Compliance & Ethics team and by doing so you will be contributing to DBNL's vision 'sustainable progress for all' and empowering ING to be compliant by desire and design.You ensure follow-up, advice and challenging towards the...

  • Compliance Officer Netherlands

    1 week geleden

    Amsterdam, Noord-Holland, Nederland DPA Professionals Voltijd € 9.000

    Als Compliance Officer in opleiding volg je een meerjarig intensief opleidingstraject om jouw competenties naar het gewenste niveau te brengen en je certificering via het Nederlands Compliance Instituut (t.w.v. € 9.Een vakinhoudelijk traject om jouw stap als Compliance Officer te gaan maken. Als ervaren analist verricht jij je eerste opdracht in het...

  • Senior Compliance Officer-Networks Compliance

    7 dagen geleden

    Amsterdam, Noord-Holland, Nederland Adyen Voltijd

    This is Adyen Adyen provides payments, data, and financial products in a single solution for customers like Meta, Uber, H&M, and Microsoft - making us the financial technology platform of choice. At Adyen, everything we do is engineered for ambition. For our teams, we create an environment with opportunities for our people to succeed, backed by the...

  • CISO Senior Security Compliance Officer

    1 week geleden

    Amsterdam, Noord-Holland, Nederland HSD Campus Voltijd

    Wil jij bijdragen aan de digitale veiligheid van KPN? Als Senior Security Compliance Officer bij KPN krijg je de kans om een cruciale rol te spelen in het waarborgen van onze security compliance status. Met jouw expertise en passie voor cybersecurity zorg je ervoor dat KPN voldoet aan de hoogste normen en een veilige digitale omgeving biedt voor zowel...

  • Compliance Officer

    1 week geleden

    Amsterdam, Noord-Holland, Nederland Yer Voltijd

    **Samenvatting**: Amsterdam Overheid Hbo Detachering via YERGeplaatst in:- IT- Overheid**Over deze vacature**:Compliance Officer bij de AFM**De functie**:Onze partner, de AFM, een organisatie die toezicht houdt op de integriteit van financiële markten, zoekt een gedreven Compliance Officer om hun team van Compliance, Integriteit en Risicomanagement (CIR)...

  • Compliance Officer

    1 week geleden

    Amsterdam, Noord-Holland, Nederland BridgeFund Voltijd

    IntroNavigeer jij moeiteloos door het doolhof van financiële wet- en regelgeving? We zijn op zoek naar een ervaren Compliance Officer. BridgeFund is een ambitieuze FinTech scaleup. We groeien hard en met jouw expertise slaan we een brug tussen de financiële behoeftes van ondernemers. Zonder tussenkomst van een bank en trage bureaucratische processen. Laten...

  • Compliance Officer

    3 weken geleden

    Amsterdam, Noord-Holland, Nederland BridgeFund Voltijd

    IntroNavigeer jij moeiteloos door het doolhof van financiële wet- en regelgeving? We zijn op zoek naar een ervaren Compliance Officer. BridgeFund is een ambitieuze FinTech scaleup. We groeien hard en met jouw expertise slaan we een brug tussen de financiële behoeftes van ondernemers. Zonder tussenkomst van een bank en trage bureaucratische processen. Laten...

  • Compliance Officer

    1 week geleden

    Amsterdam, Noord-Holland, Nederland Morningstar Voltijd

    The Role: Morningstar Sustainlytics is currently seeking a Compliance Officer to join its Amsterdam office. The Compliance Officer will be responsible for supporting the Compliance Program throughout Europe. This is a position based in our offices in Amsterdam. POSITION DESCRIPTION: Given the current market and regulatory environment, many rules and...

  • Compliance Officer

    2 maanden geleden

    Amsterdam, Noord-Holland, Nederland BridgeFund Voltijd

    IntroNavigeer jij moeiteloos door het doolhof van financiële wet- en regelgeving? We zijn op zoek naar een ervaren Compliance Officer. BridgeFund is een ambitieuze FinTech scaleup. We groeien hard en met jouw expertise slaan we een brug tussen de financiële behoeftes van ondernemers. Zonder tussenkomst van een bank en trage bureaucratische processen. Laten...

  • Compliance Officer

    3 weken geleden

    Amsterdam, Noord-Holland, Nederland BridgeFund Voltijd

    IntroNavigeer jij moeiteloos door het doolhof van financiële wet- en regelgeving? We zijn op zoek naar een ervaren Compliance Officer. BridgeFund is een ambitieuze FinTech scaleup. We groeien hard en met jouw expertise slaan we een brug tussen de financiële behoeftes van ondernemers. Zonder tussenkomst van een bank en trage bureaucratische processen. Laten...

  • Compliance Officer

    7 dagen geleden

    Amsterdam, Noord-Holland, Nederland Adyen Voltijd

    This is AdyenAdyen provides payments, data, and financial products in a single solution for customers like Meta, Uber, H&M, and Microsoft - making us the financial technology platform of choice. At Adyen, everything we do is engineered for ambition.For our teams, we create an environment with opportunities for our people to succeed, backed by the culture and...

  • CISO Senior Security Compliance Officer

    7 dagen geleden

    Amsterdam, Noord-Holland, Nederland KPN Voltijd

    Wil jij bijdragen aan de digitale veiligheid van KPN? Als Senior Security Compliance Officer bij KPN krijg je de kans om een cruciale rol te spelen in het waarborgen van onze security compliance status. Met jouw expertise en passie voor cybersecurity zorg je ervoor dat KPN voldoet aan de hoogste normen en een veilige digitale omgeving biedt voor zowel...

  • Senior Compliance Officer CC&E ESG

    1 dag geleden

    Amsterdam, Noord-Holland, Nederland ING Voltijd

    The OpportunityAs Senior Compliance Officer you will focus on both the 'what' and the 'how' of the content areas within the Conduct Compliance & Ethics team and by doing so you will be contributing to DBNL's vision 'sustainable progress for all' and empowering ING to be compliant by desire and design. You ensure follow-up, advice and challenging towards the...

  • CISO Senior Security Compliance Officer

    1 week geleden

    Amsterdam, Noord-Holland, Nederland KPN Voltijd

    Jouw rol als CISO Senior Security Compliance Officer In de rol van Senior Security Compliance Officer ben jij de drijvende kracht achter het monitoren en rapporteren van de security compliance status en bijbehorende risico's. Je geeft advies over de IT-security risk appetite en vertaalt dit naar effectieve securityprocessen en controls. Jouw werk is...

  • Senior Compliance Officer, High-Risk Verticals

    1 week geleden

    Amsterdam, Noord-Holland, Nederland Adyen Voltijd

    This is Adyen Adyen provides payments, data, and financial products in a single solution for customers like Meta, Uber, H&M, and Microsoft - making us the financial technology platform of choice. At Adyen, everything we do is engineered for ambition. For our teams, we create an environment with opportunities for our people to succeed, backed by the...

  • Compliance Officer DPO

    7 dagen geleden

    Amsterdam, Noord-Holland, Nederland Athora Voltijd

    Are you a Data Privacy Officer or a Compliance officer specialized in Data Privacy combining fun, impact and responsibility? Are you the trusted advisor to the business? Is being compliant more than just a phrase? Then consider our Compliance team as your next opportunity to add meaning to your career.The functionAs a Compliance team, we are in search for an...

  • Senior IT Auditor/Compliance Officer

    7 dagen geleden

    Amsterdam, Noord-Holland, Nederland emagine Consulting Voltijd

    We are looking for a passionate and experienced Senior IT Auditor/ Compliance Officer to make a significant impact on our organization's security and privacy. Join us for a collaborative work environment, professional development opportunities, and a commitment to sustainability and excellent benefits. Key Responsibilities: Collaborate within the team,...

  • Junior Compliance Officer ABN AMRO

    3 weken geleden

    Amsterdam, Noord-Holland, Nederland Randstad Voltijd

    Heb jij een afgeronde HBO-diploma en ben je klaar om je eerste stappen te zetten binnen de compliance? ABN AMRO zoekt een gedreven junior Compliance Officer om ons team te versterken. Als Compliance Officer ben je verantwoordelijk voor het waarborgen van naleving van wet- en regelgeving binnen ons bedrijf. Je zult samenwerken met verschillende afdelingen om...

  • Risk & Compliance Officer

    1 week geleden

    Amsterdam, Noord-Holland, Nederland Your Next Workplace | Hospitality Group Voltijd

    In de rol van Risk & Compliance Officer ben jij medeverantwoordelijk voor het succesvol managen van de (operationele) risico's en het voldoen aan relevante wet- en regelgeving binnen het ING NL Account.De functieIn de rol van Risk & Compliance Officer ben jij, samen met een collega, medeverantwoordelijk voor het succesvol managen van de (operationele)...

  • Regulatory Compliance Officer

    3 weken geleden

    Amsterdam, Noord-Holland, Nederland Bitvavo Voltijd

    What is the role about?The role will be an integral part of our Compliance team. Our team, currently consisting of two Compliance Officers and a Compliance Manager, is dedicated to maintaining the highest standards of regulatory compliance and ethical conduct across all aspects of our business operations. Will assist with the design, implementation and...