COMPLIANCE OFFICER

Job description

About the role

We are looking for a Compliance Officer to join our local Compliance team in Frankfurt am Main or Lisbon. This role requires an individual with good management skills, innovative ideas and a proactive and solution-oriented attitude. The successful candidate will work closely with the local Head of Compliance, the Compliance Officers in the subordinate offices and the head office in Zurich.

Tasks

• Support the Head of Compliance in developing and maintaining a robust and harmonized compliance framework in the EU, with a focus on GwC, WpIG, MiFIR, MiCAR and MIFID II.
• Ensuring compliance with regulatory requirements.
• Development and maintenance of compliance-related guidelines, procedures and manuals.
• Ensuring adherence to compliance processes and guidelines and carrying out risk-based controls.
• Support with customer onboarding activities.
• Support in regulatory reporting to the local board and head office in accordance with regulatory requirements.
• Carrying out assessments of regulatory screening activities in accordance with MaRisk.
• Implementation of regular risk-based monitoring activities and definition of risk-minimizing measures.
• Function as an important contact for financial crime and compliance aspects.
• Function as a key contact for internal and external auditors (in coordination with the local Head of Compliance/MLRO).

Requirements

• Bachelor's degree in law or a related field.
• Proven experience of 4+ years in compliance/financial crime roles within the financial services industry/audit firms.
• Good knowledge of EU financial regulations and directives, including GwG, WpIG, BaFin MiFIR, MaComp, MiFID II.
• Experience in designing and implementing compliance programs and policies that adapt to different regulatory requirements.
• Good communication and interpersonal skills, with proven ability to collaborate effectively across geographies.
• Advanced analytical and problem-solving skills, with the ability to excel in a fast-paced environment.
• Experience in interacting with EU regulators and internal and external auditors.
• Fluent in German and English.

Nice to Have

• Additional language skills.

We offer

(no specific information available)