Compliance Officer

Job Description

Netherlands Compliance Officer - CRD - $150kGreat opportunity to work with a US Investment Management firm, who oversee approximately $300 billion in assets under management for global clients spanning more than 50 countries.The compliance officer for Utrecht, Netherlands will be an integral part of the legal and compliance department, primarily responsible for coding, monitoring and maintaining client investment guidelines for accounts in the Charles River Compliance System("CRD") and working with investment professionals to resolve guideline exceptions. Additional responsibilities include oversight of work performed by compliance specialists located in the U.S. to ensure timely and appropriate responses to CRD alerts. The complianceofficer must be familiar with analyzing new client guidelines and amendments thereto and ensuring the accuracy and timeliness of rule coding in CRD. The compliance officer must be very familiar with all fixed income and equity instruments, and complex securitiesand derivatives.The firm is in the process of applying for a license as an alternative investment fund manager ("AIFM") for the Netherlands office. Upon approved, the compliance officer will also be responsible for complying with regulatory and reporting requirements applicableto an AIFM.Job Responsibilities

• Support the Euro Credit Investment Team on guideline related pre-trade override questions
• Comment on new and amended proposed guidelines during the Client Intake process
• Code new and amended guidelines in CRD
• Validation of guideline coding in CRD
• Oversee work performed by Compliance Specialists in U.S. and assist as necessary to ensure timely and appropriate responses to CRD Alerts
• Work with members of the investment teams (Portfolio Managers, Portfolio Specialists, and/or Client Service Representatives) to cure guideline issues in a manner consistent with the firms fiduciary duty to its clients
• Work closely with Portfolio Managers and Client Service Representatives to seek guideline clarifications, amendments, and waivers from clients as necessary
• Maintain the Netherlands Compliance Manual
• Monitor local regulatory requirements and implement processes to oversee the compliance of applicable regulatory and reporting requirements.

Qualifications & Education Requirement

• Bachelors degree in a business related field.
• At least 8-10 years investment adviser guideline compliance experience is required
• 3 - 5 years supervisory experience (experience in managing employees) is required
• At least 3 years of AIFM compliance experience
• Must have ability to work both independently and in a team environment to work effectively with other members of the Legal and Compliance Department
• Extensive rule coding knowledge of CRD is required
• Strong knowledge of fixed income securities, equities and derivatives is required
• Must have exceptional follow up skills to ensure guideline issues are resolved in a timely manner to reduce the firms market risk
• Must have ability to prioritize work in order to efficiently meet all deadlines
• Strong computer skills, including competence with Excel and Word
• Strong knowledge of equity and fixed-income securities; prior experience with derivatives is a plus

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