A leading FCA-regulated investment bank with offices in London, Amsterdam, Nairobi, Lagos, and Dubai, this organization is fast-growing and innovative, operating across emerging and frontier markets globally with a particular focus on Africa and the Middle East. The firm provides clients, including DFIs, sovereigns, corporates, and foundations, with 'first-of-their-kind' transaction advice across key sectors such as sovereign and development finance, infrastructure, natural resources, renewable energy, power, and financial services.
Main Purpose:
The Compliance Manager will be responsible for assisting the Chief Operating Officer in overseeing the firm's compliance and regulatory activities, including all subsidiaries. The role requires a sound understanding of regulatory and compliance processes in an investment banking and asset management context, including financial market regulation and documentation of private investment transactions under MiFID and AIFMD. Additionally, experience in compliance implementation is essential.
Specific Responsibilities:
- Work with the COO and Compliance Officer of the regulated entities in the UK, the Netherlands, and Dubai to implement the firm's compliance activities.
- Monitor compliance procedures across all group subsidiaries.
- Propose and implement improvements where necessary.
- Draft and update compliance and regulatory policies and procedures for all group entities.
- Take primary responsibility for reporting to and liaising with relevant regulators in the Netherlands (and other jurisdictions as required).
The Candidate:
- A minimum of 4+ years' experience in a relevant field of EU regulatory and/or compliance (law firm, investment bank, asset manager, regulator).
- Compliance implementation experience.
- Excellent written and spoken English.
- Flexibility to work on matters involving different jurisdictions and new areas and jurisdictions.
- Strong communication and problem-solving skills.
- Strong planning, organizational, and management skills, and the ability to meet deadlines and prioritize across multiple matters.
- A commercial approach.
- Ability to perform with a high level of discretion, professionalism, and integrity.
- Ability to lead overlapping assignments.
