Compliance and Regulatory Officer

Amsterdam Permanent

Added 03/11/2021

  • Great opportunity to build up a new Office in Netherlands
  • International Role in Amsterdam

About Our Client

Lion's Head Global Partners is a leading frontier markets FCA-regulated investment bank with offices in London, New York, Lagos, Dubai, Amsterdam and Nairobi. We are a fast growing and innovative firm operating across emerging and frontier markets globally, with a particular focus on Sub-Saharan Africa and the Middle East and North Africa. We provide our clients, which include DFIs, sovereigns, corporates and foundations, on 'first-of-their-kind' transactions across key sectors including health, sustainable finance, infrastructure, natural resources, renewable energy, power and infrastructure and financial services. Our business covers:

  • Asset Management: We partner with development finance institutions and other institutional investors to provide fund management services and currently have four funds under management with a combined fund size of over USD 500 million. We specialise in fund management for innovative financial strategies and transactions, managing pioneering funds focused on the African continent.
  • Investment banking:
    • We advise development agencies, multilateral institutions, foundations and organisations on a broad range of financial issues including instrument/fund structuring for public and private sector actors, themed finance and impact advisory, market scoping and investment evaluations.
    • We provide tailored advice to clients across various sectors supporting them through every stage of the transaction, from structuring to execution. Our expertise includes advise on equity and debt capital raises, acquisitions, divestments, PPPs, project finance, and investment facilitation.
    • We work with governments and sovereign entities on bond issuances, capital mobilisation, privatisations and debt consolidation and restructuring.

Job Description

The Compliance Professional will be responsible for assisting the Chief Operating Officer and General Counsel of Lion's Head Group Ltd in overseeing compliance and regulatory activities of LHG, including all of its subsidiaries.The role will require a sound understanding of regulatory and compliance processes in an investment banking and asset management context, including but not limited to financial market regulation, and documentation of private investment transactions including under MiFID and AIFMD. Additionally, experience in compliance implementation is required. SPECIFIC RESPONSIBILITIES:Compliance and regulatory activities

  • Work with the COO and the Compliance Officers of the regulated entities in UK, the Netherlands and Dubai in implementing the Firm's compliance activities.
  • Monitor compliance procedures across all group subsidiaries
  • Propose and implement improvements where necessary
  • Draft and update compliance and regulatory policies and procedures for all group entities
  • Take primary responsibility for reporting to and liaising with relevant regulators in the Netherlands (and other jurisdictions as required)

The Successful Applicant

The following skills and experience are considered essential for the role:

  • A minimum of 5+ years' experience in a relevant field of EU regulatory and/or compliance (law firm, investment bank, asset manager, regulator)
  • Compliance implementation experience
  • Excellent written and spoken English
  • Flexibility to work on matters involving different jurisdictions and new areas and jurisdictions
  • Strong communication and problem-solving skills
  • Strong planning, organisational and management skills and the ability to meet deadlines and prioritise across multiple matters
  • Commercial approach
  • Ability to perform with a high level of discretion, professionalism and integrity
  • Ability to lead overlapping assignments.

The following skills and experience are desirable:

  • Relevant professional qualification
  • Proficiency in French (highly desirable), Dutch, Portuguese or Arabic (desirable)
  • FCA (UK) or DSFA (Dubai) regulatory experience

What's on Offer


Willem van Leeuwen
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