Compliance Manager mfd - Capital Markets Securities Compliance
Compliance Manager mfd - Capital Markets Securities Compliance
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Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
Our client a leading international financial services company is seeking a suitably qualified Compliance Manager to support its European Compliance & Anti Financial Crime function in the Frankfurt office.
Tasks
- Assist in developing documentation including policies procedures and frameworks aligned with evolving regulatory standards.
- Aid in preparing responses to regulatory queries requests and consultation papers as applicable.Participate in regulatory audits organization coordination and remediation activities.
- Review and approve financial promotions client communications and other clientfacing documents (e.g. marketing materials websites videos) impacting local clients in accordance with relevant regulations and company policies.Ensure adherence to personal account trading and outside business interest requirements.Manage regular and ad hoc reporting coordinate the annual Compliance & AFC Report.
- Design and deliver tailored compliance training to staff focusing on businessspecific and regulatory issues; organize administer and track training completion.
- Support customer complaint handling assisting senior management and employees to ensure timely and appropriate resolution of all queries.
- Address daytoday requests from various departments within the company.Perform monitoring and reviews (e.g. Market Abuse Monitoring Client Classifications).
- Conduct secondlevel controls as defined in the Control Plan.
- Maintain personal and professional development to meet evolving demands including relevant regulatory and legislative training.
- Provide a highquality service that consistently projects a professional and positive image to clients colleagues and other stakeholders.
- Ensure appropriate confidentiality and handle additional duties as required.
Requirements
- Prior experience in a Compliance (and/or AFC) role within Capital Markets and Securities Compliance preferably within an international investment firm or financial institution
- Strong understanding of European regulatory requirements.
- Preferred educational background in Economics or Law.
- Fluency in English and German; additional European languages are an advantage.
Benefits
- Learning opportunities / training and study support
- International environment
- Responsible role with career perspective
- Modern office spaces
- Pension with BVV
- Share incentive plan and Life insurance
Our client is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees.
Employment Type
Full Time
