- Analytical thinking
We are a wealth manager in heart and soul. At Van Lanschot Kempen we strive to provide our customers and business partners with the highest level of service and to ensure all activities are compliant and in accordance with both, our own standards and values, as well as those demanded by regulators and our customers. Our integrity and good reputation are key to us, which we like to preserve. Our compliance program is designed to ensure compliance with laws, rules and regulations and deliver an indispensable contribution to Van Lanschot Kempen's vision and strategy.
We, the Compliance team, contribute to the trust that our clients have in Van Lanschot Kempen and we are looking for a Compliance Officer to cover Van Lanschot Kempen’s Merchant Banking and Group Treasury activities.
The main purpose of this role is to lead the compliance program with a focus on advisory in relation to Van Lanschot Kempen’s Merchant Banking and Group Treasury activities across all jurisdiction where Van Lanschot Kempen operates, including the Netherlands and the USA, the UK and Belgium, in coordination with the relevant Local Compliance Officers. In this role you will operate a broad compliance program, covering activities such as:
• Investment Banking (Corporate Finance/M&A and ECM),
• Equities Research;
• Securities Sales/Trading;
• Benchmark Administration;
• Structured Products; and
• Treasury trading.
Additionally, you will operate the compliance program for market conduct topics, including market abuse and inside Information management, best execution and conflicts of interest, as well as the relevant market infrastructure topics for the business lines under your coverage, such as trade and transaction reporting, in cooperation with the Head of Regulatory, Markets and Asset Management Compliance.
You will also assist the wider Compliance team on the implementation of the compliance strategy and program for Van Lanschot Kempen.
The Compliance organisation of Van Lanschot Kempen consists of a team of compliance professionals across the Van Lanschot Kempen Group. We approach compliance at Van Lanschot Kempen in line with our strategic objective “to act as one” and strive for harmonised solutions across all our business units. In your role as a Compliance Officer, you will directly report to the Head of Regulatory, Markets and Asset Management Compliance at Van Lanschot Kempen.
• Provide compliance advice to business personnel in the Merchant Banking, Group Treasury and the execution desk within the asset manager, with regards to the rules, regulation and internal policies;
• Provide advice on other regulatory and policy matters, including new products and business initiatives;
• Lead the continuous development of the policy framework for the coverage areas, with a special attention on market abuse, conflicts of interest and best execution;
• Lead the compliance risk assessment for the coverage areas;
• Participate in committee
To successfully fulfil this mission, you have:
• Minimum 8+ years of compliance experience working with EU regulations including the EU MAR, Benchmark Regulation, MiFID and EMIR;
• Academic background (law, finance or economics or another relevant academic background);
• Experience working in a compliance function preferably within an advisory role with exposure to Research, Corporate Finance, ECM, Cash Equity, Equity Derivatives or FICC;
• Practical experience around SEC/Finra broker-dealer regulations is advantageous;
• Proactive, resolutive, self-motivated and well organized;
• Forward looking, focused on streamlining processes and increasing efficiency;
• Ability to work fully independently and handle multiple tasks simultaneously;
• Adaptive to a changing environment;
• Affinity with digitalisation and IT solutions
• Fluent in English;
• Strong communication skills, both written and oral
Van Lanschot Kempen is a specialist, independent wealth manager, which focuses on maintaining and growing the wealth of our clients. Our strength lies in the special and strong relationship that our established names, Van Lanschot and Kempen, have with our institutional and private clients. Private Banking, Asset Management and Merchant Banking are the areas in which we excel, and in which we stand out thanks to our personal attention, knowledge and experience. Van Lanschot Kempen is a publicly listed company.
Turning talent into value. That’s what we do. The fact is, if you add value, you can obviously expect the same from us in return. Our employees are our most important asset, so they have countless opportunities to grow, both as individuals and in their professional fields. We offer you:
• a salary that matches your knowledge and experience;
• a flexible budget (consisting of holiday pay, a 13th month and 7 leave days in excess of the statutory entitlement) that you can use to tailor your working conditions to your wishes. This could include extra leave, discovering the world with a sabbatical, a gym membership or a new bike: it's all possible;
• a training costs scheme for personal and professional training opportunities.
Then please contact us. For more information or if you have any questions, please contact Tanja Schraders, our Recruiter, via firstname.lastname@example.org.