Compliance Manager

  • Aanbod excellent salary and secundary benefits
  • Functiegroep Legal & Tax
  • Dienstverband Fulltime
  • Vacaturenummer 8469800
  • Locatie Zuid-Holland
  • Contract In dienst van opdrachtgever
  • Branche Finance

Over deze vacature

Very challenging job for an experienced Compliance Manager who is looking for an inspiring, open, entrepreneurial and exciting working environment at an financial holding company.


Group Compliance is responsible for compliance program development and implementation, supervision, oversight and reporting. This position reports to the CEO of our client with matrix management reporting to the Head of Office of Global Compliance of the Japanese corporation in Tokyo, Japan.

Your main responsibilities as Compliance Manager are:

  • Develop and implement an effective compliance program for our client and the UK subsidiary
  • Co-ordinate and implement the Global Compliance Policies
  • Monitor and manage Group-wide compliance matters, taking into consideration regulatory requirements for our client, the UK subsidiary, each of the subsidiaries and impacts of the regulatory requirements of the Japanese corporation, which is listed in both the TSE and NYSE
  • Provide oversight over the compliance programs for the group of asset management subsidiaries
  • Working with management, identify and analyze the compliance risks faced by our client, the UK subsidiary and its other subsidiaries and develop ways to address them strategically and collaboratively
  • Proactively manage compliance risks for investment opportunities sought by the UK subsidiary, including taking ownership of compliance and anti-bribery and anti-corruption due diligence
  • Maintain a thorough and up-to-date understanding of applicable laws and regulations through ongoing education.
  • Monitor regulatory changes applicable to our client, the UK susbidiary and its other subsidiaries, provide timely and clear guidance on regulatory compliance, implement revisions of the Compliance Program, including policies and procedures in light of changes in the needs of our client and in applicable laws and regulations.
  • Global shareholder reporting
  • Perform a liaison function between the Japanese corporation and our client, the UK subsidiary and its other subsidiaries
  • Review and aggregate quarterly compliance reports of the subsidiaries and report to the Japanese corporation
  • Build relationships with peers of the independently operating subsidiaries of our client and of the Japanese corporation


Our client is a financial holding company which is 100% owned by a Japanse corporation. Our client maintains oversight of a group of asset management subsidiaries, located in the EU, the US and India. Together these subsidiaries manage over EUR 290 billion of assets worldwide through a broad range of investment strategies and investment solutions. Our client ensures that the tasks and responsibilities, that go beyond the investment subsidiaries itself, are carried out properly. Our client focuses on group consolidation and reporting, tax affairs and internal auditing. In addition, our client provides the support function including legal and compliance for the Japanese corporation to expand other strategic business lines in Europe. Next to the traditional financial holding functions, our client is responsible for further development of internal communication and for increasing effectiveness of our client group wide. Our client seeks synergies across the group and maintains a professional network internally and externally. Our client also manages the activities of a newly organized subsidiary in the UK which is actively seeking investment opportunities. Our client offers an inspiring, open, entrepreneurial and exciting working environment.


Our client offers an inspiring and exciting working environment with enthusiastic and ambitious professionals. The culture is characterized by innovation, entrepreneurship, ambition and personal development. In addition our client offers an attractive salary and secundary benefits.


  • At least 5-7 years of broad-based Compliance experience within the compliance area of the financial services industry
  • Excellent knowledge and understanding of global compliance requirements, including UK en US compliance requirements
  • Excellent knowledge and understanding of EU specific regulation including GDPR and MAR
  • Sound judgement and analytical skills
  • Experience with conflicts of interest situations
  • Experience with compliance and ABAC due diligence
  • Excellent interpersonal skills, including the ability to communicate effectively and professionally with a variety of contacts, both internally and externally, including with all levels of the organization and its parent company
  • Ability to work internationally in a flexible and dynamic way that accommodates the needs and demands of the stakeholders
  • Experience with policy design and implementation
  • Fluent in both oral and written English