Regulatory Compliance Manager - Dutch Branch

Monex S.A.P.I. de C.V. is headquartered in Mexico and is the ultimate parent company to the Monex business units located in the United Kingdom, The Netherlands, Spain, Luxembourg, Singapore, Canada, Mexico and the United States.

The presence in each country through which the group carries out business is as follows; Banco Monex, Monex Casa de Bolsa, Monex Operadora de Fondos and Arrendadora Monex in Mexico; Monex USA, Monex Securities and Monex Asset Management in the United States; and Monex Europe Holdings Limited, comprising of Monex Europe Limited, Monex Europe Markets Limited, Monex Europe S.A., Monex Canada Inc., and MonFX Pte Ltd.; with offices in the UK, Spain, the Netherlands, Luxembourg, Toronto and Singapore.

The Monex group of companies employs over 2,800 employees globally and provides banking and brokerage services to around 66,000 clients worldwide.

About the Role

As Regulatory Compliance Manager Dutch Branch you take ownership of three areas that sit at the core of how a regulated FX and payments business operates: our licensing and regulatory permissions, our policy and control frameworks, and our compliance monitoring programme.

You will protect the firm’s authorisation in Netherlands— communications and notifications to your local regulator — and make sure our activity always stays inside the perimeter of what we are licensed to do. You will write the local policies and adapt the global policies and frameworks the business runs on, translating regulation into documentation people can actually use. And you will design and deliver the monitoring plan that tests whether those controls are working in practice in the Branch.

Key Responsibilities:

Licensing & regulatory permissions

• maintain the firm’s regulatory licence in Netherlands,

• Prepare and submit regulatory notifications to the competent authorities in Netherlands

• Maintain the permissions register and ensure branch business activity always remains within the scope of authorisation

• Coordinate regulatory filings and periodic returns, ensuring accuracy, completeness and timely submission

• From a local regulation point of view, assess new products, services and market entry and advise the business accordingly

Policy, frameworks & documentation

• Draft, review and maintain compliance policies, procedures and control frameworks applicable to the Dutch Branch

• Translate regulatory requirements — PSD2/PSR, MiFID II, EMIR and applicable local regulation — into clear, workable internal documentation

• Own the policy lifecycle end to end: version control, approval routing, attestation, distribution and periodic review

• Design frameworks that scale with the business and reduce reliance on manual intervention

• Ensure local policies and procedures genuinely reflect how the business operates, and close the gap where they do not

Compliance monitoring & testing

• Design and deliver the annual Compliance Monitoring Plan for the Branch: scoping, fieldwork, testing, findings, reporting and follow-up

• Execute risk-based monitoring reviews across front-office activity, including pricing and execution, record keeping and client communications

• Test controls to confirm the business is operating compliantly, and provide input into the design and testing of new systems

• Track remediation actions through to closure and escalate to local management, Senior Compliance Officer Dutch Branches and the Head of Compliance where necessary

• Prepare monitoring reports and management information for senior management and relevant committees

• Contribute to the Compliance Risk Assessment

Regulatory change & advisory

• Own regulatory horizon scanning; assess impact and lead the implementation of new and forthcoming requirements

• Act as a day-to-day point of contact for the local business on regulatory queries, giving pragmatic and commercially aware guidance

• Build relationships with the front office to strengthen awareness of first line of defence responsibilities

• Create training and reference materials, and deliver training to the business

• Support the Senior Compliance Officer Dutch Branches and the Head of Compliance in interactions with regulators, internal audit and external auditors where applicable

• Ensure client complaints are handled promptly and in line with local regulatory requirements

Requirements

• 5-8 years of experience in Compliance within a regulated financial services environment

• Proven leadership and stakeholder management skills

• Strong knowledge of compliance, governance, and risk management

• Degree in Law, Economics, or a related field

• Fluent Dutch & English

• Additional European languages are a plus