Compliance Officer - Post-Trade Surveillance

Our client is the leading pan-European market infrastructure, connecting European economies to global capital markets, to accelerate innovation and sustainable growth. It operates regulated exchanges in Belgium, France, Ireland, Italy, the Netherlands, Norway and Portugal. With close to 1,930 listed issuers and around €6.8 trillion in market capitalisation as of end March 2023, it has an unmatched blue-chip franchise and a strong diverse domestic and international client base.

They operate regulated and transparent equity and derivatives markets, one of Europe’s leading electronic fixed income trading markets and is the largest centre for debt and funds listings in the world. In addition to its main regulated market, it also operates several junior markets, simplifying access to listing for SMEs.

There are almost 2,000 companies listed on our client's exchanges, including national and international blue-chip companies. It is also the leading exchange for derivatives, with on average 3.3 million transactions per day with a transaction value of €11.26 billion, and is home to more than 500 indices. With four central securities depository (CSDs) and one clearing house in Europe, our client manages the entire capital markets value chain.

Role Description:

• Compliance's missions is to support our client and its employees in complying with applicable laws and regulations and promoting ethical standards in accordance with good corporate governance.
• This covers amongst others: Insider dealing, Anti-Money laundering and sanctions lists, bribery and corruption, fraud and requirements from the Market Abuse Regulation as a listed company.
• Compliance supervises the on-boarding of and continuous requirements of listed companies, Members and other clients of our client in accordance with our client's rules and regulatory requirements.
• Compliance Surveillance's main role is to assist our client in meeting its regulatory obligations by carrying out a compliance program which examines and monitors relevant activity of our client's Members and Issuers in order to promote market integrity.
• This is performed by auditing our member firms and performing post trade surveillance of securities and derivatives trading on possible market manipulation or insider trading and identifying potential rule breaches of our client's Rulebooks.

Responsibilities:

• As Post Trade Surveillance Specialist, you are responsible for the day-to-day operational compliance activities in surveillance, audit and investigation to ensure our client's activities are compliant and you will assist in carrying out the compliance program across our client's markets in conjunction with individuals from the other teams as required. You support our client and its employees in complying with applicable laws and regulations and promoting ethical standards in accordance with good corporate governance. Ensuring compliance of our client as a listed company and its employees. You perform reviews of Policies and upcoming regulations. Analyze statistics and interactions with product teams on the design of new initiatives.
• Carry out post trade surveillance using existing monitoring tools and systems and contribute to the development of those tools and systems as required to keep abreast of Market and Regulatory developments.
• Analyze trading data and develop search queries or alerts to detect certain behavior.
• Keep abreast of current market structure, exchange rules and market abuse regulations, in order to enhance the surveillance toolset accordingly.
• Carry out audits and investigations, draft reports, and take follow up action as appropriate. Where required, recommend appropriate enforcement action for Compliance management.
• Investigate the complaints of Members and other referrals in a timely manner.
• Inform and advise Members about our client's Rules.
• Assess and design internal policies in relation to legal framework.
• Inform and advise and train internally on several Compliance related topics.
• Develop and maintain excellent contacts and working relationships with other internal departments and Management.
• Represent Compliance as required.
• Coordinate and cooperate with other Compliance teams to ensure a harmonized approach

Requirements:

• Excellent numeracy, analytical and organizational ability
• Good understanding of MS Excel and databases
• Ideally basic programming skills (e.g. in VBA, Python)
• Excellent written and oral communicative skills in Dutch and English
• Energetic, team player and able to multi-task
• Strong attention to detail

Education and Knowledge

• 2+ years financial services industry experience
• Higher professional or university education in Data Analysis, Business, Finance, Economics or related field
• Understanding of the EU Regulatory framework, particularly the Market Abuse Regulation
• Understanding of financial markets and Exchange traded financial products