Legal & Compliance Officer

SFI Markets is an international trading firm founded in 2013. Working out of our Amsterdam headquarters, all SFI country teams are active in primary, secondary and money markets in their respective countries. The wide variety of products we offer allows us access to every aspect of the market. 

As a Compliance & Legal Officer at SFI Markets, the focus lies on ensuring that the company timely and diligently meets its regulatory obligations. Together with Legal & Compliance Manager, you will continuously oversee any changes in regulations as applicable to an investment firm and financial sector as a whole and transpose them to SFI’s policy framework as well as internal processes and procedures. Moreover, you are expected to oversee and timely respond to any regulatory queries, manage internal regulatory reporting as well as assist in any (regulatory) projects. On the legal side, your main tasks and responsibilities will consist preparation of standard documents (client agreements, NDAs and similar), coordinate signature process as well as maintain the internal corporate database up-to-date. The aforementioned serve only as examples of a variety of tasks and responsibilities that Compliance & Legal Officer is expected to undertake at SFI Markets. For this position, we are looking for a colleague that is able to work 32-40 hours per week.

KEY RESPONSIBILITIES

Compliance (70-80%)

• Overseeing and monitoring any changes in the regulations (MiFID II, MiFIR, WFT, IFR/IFD, MAR/MAD, GDRP, anti-bribery and corruption, whistleblower protection, DORA etc.)
• Implementation of compliance with these regulations in SFI’s policies and internal processes as well as routine monitoring of compliance thereof and preparing respective periodic compliance reports
• Responding to regulatory queries (e.g. AFM, DNB, ESMA) and proactively reporting any relevant matters to the regulators
• Personnel training on the internal policies and procedures of the company
• Liaison with the Risk team with respect to any overlapping matters (e.g. DNB reporting, market abuse monitoring)
• Liaison with the IT team with respect to any improvements to internal systems and databases
• Act as point of contact to front office and trading with respect to any queries or issues
• Ensure proper record-keeping of the company’s compliance records
• Any ad hoc compliance related tasks or projects

Legal (20-30%)

• Preparation and review of standard legal documentation, such as NDAs, brokerage agreements and similar template-based documents
• Ensuring four-eye principle for the purposes of document review & signing and coordinating the signature process
• Maintaining internal corporate database (Legisway Essentials)
• Assisting Legal & Compliance Manager with any internal governance or other related tasks on ad hoc basis

KEY REQUIREMENTS

• Bachelor’s or Master’s degree in Law, Political Science or Internal Relations
• Experience (2 to 4 years) within a regulated financial institution (e.g. asset management, investment firm, bank, trust company or similar) in the field of regulatory compliance (outside the area of CDD and KYC)
• Demonstrable knowledge of regulations applicable to financial sector (MiFID II/WFT, IFR/IFD, MAR/MAD, GDRP, DORA, anti-bribery and corruption, whistleblower protection etc.)
• Understanding of corporate financing transactions (equity, debt financing, EMTN and similar)
• Understanding of commercial & company law matters and corporate governance
• Able to work autonomously and timely escalate any relevant matters to Legal & Compliance Manager or the Board
• Attention to detail and critical analysis skills
• Full ownership of the tasks and projects, in cooperation with Legal & Compliance Manager
• Preferably, working proficiency in the Dutch language

COMPENSATION AND BENEFITS

• Competitive remuneration package
• Pension scheme contributions
• Strong focus on personal and professional development
• Mentorship
• Freedom and independence at the job
• Possibility to attend trainings
• Monthly YourCampus contribution, monthly office lunches, everyday fresh fruit and other exciting social activities

Note: only applications from candidates based in the Netherlands will be considered.