Interim Legal & Compliance Manager – 5 months cover
Amsterdam, Noord-Holland, NetherlandsOperations
As an interim Compliance & Legal Manager at SFI Markets, the focus lies on ensuring that the company timely and diligently meets its regulatory obligations. In this role you will continuously oversee any changes in regulations as applicable to an investment firm and the 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. Lastly, you will oversee the work of the KYC team consisting of three individuals.
On the legal side, your main tasks and responsibilities will consist of preparation and review of standard documents (client agreements, NDAs and similar), review of incoming supplier and third party agreements, preparation and review of business documentation, assist with internal corporate transactions and corporate governance 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 the Interim Compliance & Legal Manager 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 and is available from (mid) April 2024 for at least 5 months.
Who are we?
Since 2013, SFI Markets has been focusing on attracting, placing and trading in sustainable bonds and loans for the semi-public sector and corporates
Thanks to our comprehensive global network, SFI Markets knows exactly which borrowers need to be connected to which lenders, including banks, institutional investors and asset managers. This is how we are able to help clients find the best solution for their financing and investment in major renewable energy projects.
Active on both the primary (money and capital) and the secondary markets, SFI’s reach has evolved from just European coverage to being increasingly active on the global market too. We are able to draw on the knowledge of our experienced international team to provide deeper insights into local markets. This allows us to offer our clients a customized approach, as well as direct access to relevant markets and financial institutions.
We have nurtured long-standing relationships with our international investors and clients. The expertise and knowledge of our team, who are native speakers and very familiar with the local market and players, provides our clients with complete and bespoke financing conditions.
· 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
· 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
· Managing KYC team and providing advice of CDD/Wwft/Sanctiewet related questions and internal processes
· Ensure proper record-keeping of the company’s compliance records
· Preparing monthly reports to the management team on relevant compliance-related subjects
· Preparation and review of standard legal documentation, such as NDAs, brokerage agreements and similar template-based documents
· Review of incoming supplier and third party agreements
· Preparation of business documentation relating to debt or equity financing, EMTN programs and any other relevant corporate financing transactions
· Assistance with internal corporate transactions (share/depositary receipts) and liaison with the notary where relevant
· Ensuring company’s corporate governance (including but not limited to shareholder approvals and monthly management team meetings)
· Ensuring four-eye principle for the purposes of document review & signing and coordinating the signature process
· Maintaining internal corporate database (Legisway Essentials)
· Preparing monthly reports to the management team on relevant legal-related subjects
· Bachelor’s or Master’s degree in Law
· Experience (at least 8 years) within a regulated financial institution (e.g. asset management, investment firm, bank, trust company or similar) in the fields of regulatory compliance (outside the area of CDD and KYC) and legal
· Demonstrable knowledge of regulations applicable to financial sector (MiFID II/WFT, IFR/IFD, MAR/MAD, GDRP, DORA, anti-bribery and corruption, whistleblower protection etc.)
· Demonstrable knowledge of the Dutch Civil Code
· Understanding and experience with WWFT and Sanctiewet and its practical application
· Understanding and experience with corporate financing transactions
· Understanding and experience with commercial & company law matters, contracts and corporate governance
· Able to work autonomously and timely escalate any relevant matters to the board
· Attention to detail and critical analysis skills
· Proactivity, independence and quick learning skills
· Full ownership of the tasks and projects
· High professional ethics and integrity
· Attention to detail and critical analysis skills
· Preferably, working proficiency in the Dutch language
· Living in (the area of) Amsterdam or willing to do the commute to our office
· Available from (mid) April for an assignment of approximately 5 months
Compensation & Benefits:
· Competitive remuneration package
· Pension scheme contributions
· Strong focus on personal and professional development
· Freedom and independence at the job
· Possibility to attend trainings
· Monthly YourCampus contribution, monthly office lunches, everyday fresh fruit and other exciting social activities