Compliance Monitoring Officer, Fluent Dutch
Ameriprise Financial Services, LLC
full-time
Posted on:
Location Type: Hybrid
Location: Amsterdam • Netherlands
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About the role
- Responsibility for the development, maintenance and execution of the risk-based EU hub, NL, and other European Compliance Monitoring Plans ‘CMP’.
- Assistance with other European CMPs/monitoring activities will also be expected, including some quarterly travel (e.g., branch office visits and similar).
- Contribute to the design of the NL and other European annual plans (as subsets of the Global CMP).
- Maintain and enhance regulatory mapping across Dutch, Luxembourg and wider EU regimes.
- Perform topic based/thematic Compliance monitoring reviews (both regional and as part of wider global reviews).
- Performance of ongoing/periodic monitoring activities.
- Track, report, and drive timely remediation of issues/actions arising from monitoring reviews.
- Provide input into compliance reporting for boards and NL risk committee and other relevant committees and forums.
- Lead/participate in due diligence visits and outsourcing oversight reviews of material third party service providers.
- Monitor delegated business activities (internal and external, as appropriate).
- Provide ad-hoc monitoring support for business change, thematic deep-dives and regulatory queries.
- Support key supervisory processes (e.g., SREP).
- Support NL Compliance in DORA incident protocols, providing monitoring insight and serving as an independent compliance challenge.
- Assist with ad-hoc Compliance tasks and project work as required.
- Co-ordinate the production of the Systematic Integrity Risk Analysis Reports (SIRA).
- Collaborate with and provide ad-hoc European regulatory training to other Monitoring team members in the UK, India, and US.
Requirements
- Fluent English and Dutch (written & spoken)
- Solid, relevant Compliance Monitoring or Internal Audit expertise, ideally within Asset Management
- Solid knowledge of MiFID regulations
- Solid knowledge of investment funds structure/operation/regulation (UCITS & AIFs)
- Familiarity with European regulatory regimes, primarily De Nederlandsche Bank (DNB) and Authoriteir Financiele Markten (AFM)
- Team player
- Organised, curious and self-motivated, with good analytical skills
- Good interpersonal skills
- Good working knowledge of Microsoft Office
Benefits
- Flexible working arrangements
- Professional development opportunities
- Health insurance
- Paid time off
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
Compliance MonitoringInternal AuditMiFID regulationsInvestment funds structureUCITSAIFsRegulatory mappingThematic Compliance monitoringRisk AnalysisDORA incident protocols
Soft Skills
Team playerOrganisedCuriousSelf-motivatedAnalytical skillsInterpersonal skills