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EU Compliance Officer

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DRW is a technology-driven, diversified principal trading firm. We trade our own capital at our own risk, across a broad range of asset classes, instruments and strategies, in financial markets around the world. As the markets have evolved over the past 25 years, so has DRW – maximizing opportunities to include real estate, cryptoassets and venture capital. With over 1200 employees at our Chicago headquarters and offices around the world, we work together to solve complex problems, challenge consensus and deliver meaningful results. It’s a place of high expectations, deep curiosity and thoughtful collaboration.

As the EU Compliance Officer based in our Amsterdam office, you’ll be responsible for all EU-based compliance, develop and enforce compliance policy and procedures, and provide compliance education and counsel to internal trading businesses. You will also contribute to shared Compliance processes with DRW UK Compliance such as surveillance and reporting.

What you will do in this role:

  • Working with the Head of EU and UK Compliance and reporting to the Board of Directors in Amsterdam you will assist in the development, implementation and monitoring of the compliance monitoring programme, policies, procedures and internal controls.
  • Lead contact with the AFM and DNB
  • Representing DRW in the APT trade association
  • Oversight of EU and UK Market Abuse surveillance
  • Oversight of outsourced functions including transaction reporting and AML
  • Assessment of the impact of new trading initiatives with particular reference to surveillance and transaction reporting
  • Monitoring and review of new trading to ensure compliance with regulation and exchange rules including trader registrations, reporting and surveillance
  • Guidance on Exchange rules and ad-hoc advisory
  • Manage and deliver specific Compliance projects such as the annual RTS 6 review
  • Monitor and report on the effectiveness of policies and procedures of department; recommend and implement enhancements and changes as needed
  • Assist in the ongoing enhancement and implementation of compliance training programs
  • Periodic travel required

What is needed for this role:   

  • 7+ years of financial markets compliance experience required; experience in and understanding of proprietary trading preferred
  • Must have strong knowledge of MiFID II and MAR regulation, knowledge of EMIR, SSR, SFTR, MLD or CSDR a plus.
  • Experience working with European exchanges and regulators including the AFM; familiarity with Market Making and HFT regulatory obligations
  • Experience at a proprietary trading firm, exchange or regulator preferred
  • Must have strong business acumen and the analytical and problem-solving skills necessary to identify trends and root issues, and to recommend solutions that support the company’s business objectives
  • Must have strong organizational and presentation skills and a professional demeanor
  • Must have excellent written and verbal communication skills with ability to effectively communicate at all levels within the organization
  • University degree required
  • Fluency in English required; Fluency in Dutch is a plus

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