HOW DO YOU FIT IN THE TEAM?

As a Head of Compliance, you need to manage ad-hoc activities next to your daily work. In this position, you need to prioritize what is important, have a hands-on and independent work mentality and be able to deal with stress. A helicopter view is required, you are proactive, know what you are capable of, possess good communication skills and not afraid of asking questions.

Other relevant qualifications for this profile:

• Master’s degree in a law related study, supplemented with a Compliance degree;
• Minimum of 7 years of compliance experience in the financial services industry, with a focus on investment funds industry;
• Familiar with compliance systems and processes;
• Experience in the same industry, with a focus on investment funds, is a pre;
• Experience with compliance issues relating to regulatory and governance requirements and curiosity about regulatory developments;
• Understanding of risk management;
• Affinity with integrity, culture and governance requirements;
• Strong organizational and effective communication skills;
• A professional and hands-on work mentality;
• Proven team spirit;
• Strong interpersonal and presentation skills;
• Self-starting mentality, taking initiatives;
• Excellent communication skills in English (orally and in writing).

Do you recognise yourself in this profile? We can’t wait to meet you

As Head of Complinace, you are part of our compliance department which ensures that Trustmoore and its clients comply with all applicable laws and regulations, as well as supervisory requirements and internal policies and procedures. However, the definition of ‘compliance’ within Trustmoore covers much more than rules. Our compliance agenda is not solely driven by regulations; we take time and effort to ensure that our processes are fit for purpose in order to understand and manage our risks. As every client is different, we look for a balanced approach rather than relying on rigid procedures and check lists. In this role you will work closely with the local management team, in assuring Trustmoore’s compliance with local laws and regulations on a client level. You work closely together with other compliance officers globally and you will be also part of our global Risk and Compliance community, maintaining Trustmoore’s high international standards of business integrity. Summarized as a Head of Compliance, you contribute to our compliance department in the broadest sense.

Main responsibilities are:

• Providing input to local management and the Global Risk and Compliance Committee to further improve processes leading to further lower and mitigate compliance risks;
• Acting as RC of the Company and providing regular local management reports of the operation and progress of compliance efforts;
• Acting as a review and evaluation body within the organization and ensure compliance related regulations are adhered to and possible issues are appropriately investigated and resolved
• Providing ad- hoc advice and guidance to all financial and legal account managers on the full range of compliance topics, including e.g. AML, sanctions, privacy, conflicts of interest, outsourcing, licensing etc. in accordance with the relevant regulations;
• Providing support as well in the process of client acceptance and client file reviews, ensuring accuracy and completeness of the client files;
• Assisting with compliance issues during the client’s life cycle (client acceptance due diligence, transaction monitoring, periodic reviews, and exit);
• Providing training and support to the business to continuously enhance awareness and understanding of compliance risks and regulations;
• Taking part in various compliance projects and working groups;
• Acting as sparring partner for other compliance officers;
• Participating in Client Acceptance Meetings, Internal Compliance Meetings, Business Compliance Meetings.