As a Compliance Officer at Aqua-Spark (Forbes’ Impact 50 list) you work at a fast growing global investment fund active in innovative solutions to food security and ocean conservation through aquaculture.
Aqua-Spark is a global investment fund based in Utrecht, that makes investments in sustainable aquaculture businesses that generate investment returns, while creating positive social and environmental impact. The fund is building an ecosystem of small to medium sized enterprises across the global aquaculture value chain to make aquaculture more sustainable, healthier and more accessible for all. Our fund is growing fast and we want to extend the Legal team with a:
The primary responsibility for the Compliance Officer is to ensure that the company and its stakeholders are in compliance with (international)rules and regulations relevant for Aqua-Spark as an impact alternative investment fund operating on a global scale. You act as an internal supervisor and guardian of the integrity of the Aqua-Spark organization and ensure that the organization is aware of reputation and integrity risks.
You are responsible for determining all necessary actions to ensure achievement of the objectives of an effective compliance program and monitors all applicable regulatory regimes and other industry requirements and trends that may have an impact on Aqua-Spark’s global business. As a member of the legal department you report directly to the Head of legal.
- Manages and coordinates the introduction of and compliance with all applicable regulatory rules and regulations and other industry requirements (Compliance Program) which are imposed on Aqua-Spark by (international) regulators and financial authorities like the Dutch Bank (DNB), the Authority for Financial Markets (AFM),and international financial authorities like FINRA or SEC;
- Due to Aqua-Spark’s growth ambitions participates and co-manages the project of achieving a full AFM license in the near future;
- Develops, introduces, monitors and revises policies, procedures, and risk management measures for the general operation of the Compliance Program to prevent illegal, unethical, or improper conduct and takes appropriate steps to improve its effectiveness.
- Provides reports on a regular basis and as requested and proactively advises Senior Management about compliance risks to keep these key parties informed of the operation and progress of compliance efforts.
- Develops and periodically reviews and updates policies and Standards of Conduct for the company to ensure continuing currency and relevance in providing guidance to management and employees on matters relating to compliance.
- Increases compliance awareness through communication and (ongoing) training for all employees and managers and educating on new and existing compliance issues and related policies and procedures.
- Consults with internal and outside counsel or other external advisors as needed, to resolve difficult legal compliance issues.
- Responds to alleged violations of rules, regulations, policies, procedures, and Standards of Conduct by evaluating or recommending the initiation of investigative procedures.
- Develops and oversees a system for uniform handling of such violations. Ensures proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required.
- Independently identifies potential areas of compliance risks, monitors and evaluates compliance risks, develops/ implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future.
- As necessary, coordinates compliance activities within Aqua-Spark to remain abreast of the status of all compliance activities and to identify trends.
Required personal skills
You have a bachelor’s or Master’s Degree in Legal or Compliance or similar discipline required. You have:
- 5 or more years of experience in a professional compliance position with a similar level of responsibility in a financial organization, investment fund or supervising authority like the AFM.
- Project management and educational skills.
- Experience with EU and Dutch rules and regulations regarding investment funds is a must and experience with US rules and regulations preferred.
- Familiarity with operational, financial, quality assurance, human resource processes.
In addition, you preferably have:
- Experience as a Compliance Officer in the financial/ investment area.
- Experience supporting executive leadership teams
- Experience with filing forms in accordance with US rules and regulations
What do you need to be successful?
- Superb written and verbal communication skills, with an ability to draft profession high level reports and messages for prospective and current investors with a high degree of professionalism in English and Dutch;
- Knowledge of and experience with financial law e.g. Wft, Wwft, AIFMD, SFRD and KYC processes and compliance policies and willing to follow trends and developments in the compliance environment.
- Ability to thrive in an entrepreneurial, fast paced work environment.
- Alignment with Aqua-Spark values and interested toward key components of the Aqua-Spark approach;
- Proficient in Apple, Microsoft Office, Excel, familiarity with databases and excellent IT/computer skills in general;
- High personal integrity, including the capacity to discretely handle highly confidential and sensitive information;
- High energy and positive team member.
For more information or if you would like to apply directly, please contact Marjolein Jetten by sending an e-mail to email@example.com. We look forward to receiving your application!