Compliance Officer Client Protection

In our Compliance team, you help protect the trust our clients place in Van Lanschot Kempen. You are a hands-on sparring partner for Investment Banking, turning complex rules into clear, workable guidance for the front office and supporting functions. Your day-to-day focus is on our Investment Banking activities—Equity Capital Markets (ECM), Corporate Finance, and Equities Trading & Research—so our compliance framework stays robust and fit for purpose.

The Client Protection team supports all client groups across Van Lanschot Kempen (Private Clients NL, Investment Management and Investment Banking) and, where needed, corporate functions such as Corporate Centre, DAAT and Operations. In this role, you focus on Investment Banking: you advise and challenge stakeholders in ECM, Corporate Finance and Equities Trading & Research, and continuously improve our processes, systems and procedures to manage risks effectively and efficiently. Working closely with the business and driving a harmonised approach are key to a strong Compliance programme. You report to the Manager of the Client Protection team.

Furthermore you are responsible for:

• Provide pragmatic, hands-on compliance advice to Investment Banking stakeholders (ECM, Corporate Finance and Equities Trading & Research) and act as a trusted advisor who guides and challenges the business.

• Identify, analyse and help mitigate compliance and conduct risks across products, services and transactions (including conflicts of interest and client protection considerations), and execute risk-based monitoring with clear reporting and follow-up.

• Advise on key Market Abuse Regulation (MAR) and MiFID II topics, including inside information assessments, wall-crossings, market soundings, insider lists, trade-surveillance escalations, inducements, best execution, product governance, appropriateness (where applicable), conflicts of interest and record keeping.

• Help design, implement and maintain effective controls and information barriers (e.g., public/private side, research independence, deal team restrictions) and monitor their effectiveness.

• Maintain and further develop relevant policies, frameworks and procedures, and support teams in implementation to strengthen the control environment in Investment Banking.

• Contribute to the strategic and tactical Compliance programme, collaborate with key internal and external stakeholders, support training and awareness initiatives, and facilitate change within Compliance and the business

Your talents

Hands-on, solution driven and well organized. Enthusiasm, communicative and a drive to perform and the ambition to elevate compliance to a higher level. This is how we can best describe you as Compliance Officer Client Protection. You strive for the best possible result and have a pragmatic attitude. You can simplify complex matters and keep the business necessity in mind. You use these talents to guide our colleagues and clients in a constantly changing world every day.

You also have:

• Minimum 5 years of relevant experience in Compliance within a banking environment, preferably covering Investment Banking activities (e.g., ECM, Corporate Finance, Equities Trading and/or Research).

• An university education, preferably supplemented with relevant compliance training.

• Solid knowledge of key regulations and conduct topics relevant for Investment Banking, including MAR, MiFID II, conflicts of interest and information barriers.

• The ability to identify complex and/or risky situations in an investment banking environment and to propose pragmatic mitigating measures.

• Strong communication skills and credibility to build trusted relationships with senior stakeholders across the Investment Banking value chain.

• Good mastery of English, both written and spoken.

Move ahead at Van Lanschot Kempen

Investeren op een meer toekomstgerichte, duurzame en data-gedreven manier voor uiteenlopende cliënten. Nationaal én internationaal. Met bijna 300 jaar ervaring maken we deze ambitie waar bij Van Lanschot Kempen. Dat doen we met zo’n 2.300 collega’s in verschillende vakgebieden.

Het Compliance team van Van Lanschot Kempen bestaat uit circa 30 gedreven professionals in Nederland, aangevuld met Compliance teams in onze kantoren in het buitenland. We benaderen compliance in lijn met onze strategische doelstelling “to act as one” en streven naar geharmoniseerde oplossingen voor al onze business segments.

De mate waarin een organisatie innoveert en wendbaar is, hangt ook af van de diversiteit van het personeelsbestand. Onze verschillen maken ons samen sterker. We stimuleren een inclusieve werkomgeving waarin iedereen zich thuis voelt. Bij ons kun je jezelf zijn. En daar zijn we trots op.

Benieuwd naar de verhalen van collega’s en hoe zij werken bij Van Lanschot Kempen ervaren? Bekijk People & Projects en ontdek meer. Of luister naar onze Podcast om te horen wat collega’s te vertellen hebben.