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Compliance & Risk Officer (Utrecht, fulltime)

Making a true difference as a Compliance & Risk Officer? At Aqua-Spark (Forbes’ Impact 50 List), a fast growing global investment fund, you contribute to innovative solutions to food security and ocean conservation through aquaculture. Do you want to create positive environmental and social impact? Then this may be your opportunity!

About us
Aqua-Spark is a global investment fund based in Utrecht (Forbes’ Impact 50 List), 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. Aqua-Spark is growing fast and we want to extend the Legal team with a:

Compliance & Risk Officer (Fulltime, Utrecht, The Netherlands)
The primary responsibility for the Compliance & Risk 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 take part in the Risk Committee meetings. You report to the Head of Legal.

Responsibilities:

  • Manages and coordinates the introduction of and compliance with all applicable regulatory rules and regulations and other industry requirements (Compliance and Risk 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;
  • Provides reports on a regular basis and as requested and proactively advises Senior Management about compliance risks.
  • Assesses company operations to determine compliance risks and work with management and staff to identify and manage potential areas of compliance and regulatory risk. Develops, introduces, monitors and revises policies, procedures, and risk management measures for the general operation of the Compliance & Risk Program;
  • Manages Aqua-Sparks insurances portfolio related to the organisation, board and team members.
  • Develops and periodically reviews and updates policies and Standards of Conduct and ethics for the company to ensure continuing currency and relevance in providing guidance to management and employees on matters relating to compliance.
  • Promoting strong compliance awareness through communication and (ongoing) training for all employees and management and educating on new and existing compliance issues and related policies and procedures.
  • Ensuring compliance with Data Protection legislation. Monitors laws, regulations, industry trends, assess impact for changing compliance requirements and needs and provide recommendations for actions.
  • 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 and ethics 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.

Required personal skills
You have a bachelor’s or Master’s Degree in Legal or Compliance or similar discipline. You have:

  • At least 5 years of experience in a professional compliance position with a similar level of responsibility in a financial organization, consultancy firm, investment fund or supervising authority like the AFM.
  • Experience with EU and Dutch rules and regulations regarding investment funds is a must and experience with US rules and regulations preferred.
  • Project management and educational skills.
  • Familiarity with operational, financial, quality assurance, human resource processes.
  • Experience as a Compliance & Risk Officer in the financial/ investment area is preferred.
  • Experience supporting executive leadership teams is preferred.
  • Experience with filing forms in accordance with US rules and regulations is preferred.

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.

Remuneration

An excellent salary package including participation profit sharing, and a truly impactful role within a great entrepreneurial and global organization that is growing fast.

For more information or if you would like to apply directly, please contact Marjolein Jetten by sending an e-mail to Marjolein@aqua-spark.nl. We look forward to receiving your application!