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Regulatory Compliance Advisor

Quintet Private BankMünchen, Bavaria, Germany

Vor 30+ Tagen

Stellenbeschreibung

Purpose of the Job

Quintet Private Bank is a leading private bank in the wealth management sector. We are committed to our clients and their families and pride ourselves on our personalised service based on a deep understanding of what clients want to achieve. Compared to others we are small (

The principal duty of the Regulatory Compliance Adviser within Merck Finck Compliance team is supporting the Merck Finck Head of Compliance in ensuring that the team delivers high quality compliance advice to colleagues across all Merck Finckfunctions in the areas of : Regulatory culture investor protection market abuse anti-bribery and corruption sustainable finance and cross-border regulations.

The role holder hierarchically reports toMerck Finck Head of Compliance and works closely with the Group Head of Regulatory Compliance and Cross Border thus working closely with other EU and UK RCC advisers to ensure the successful delivery of the Compliance function strategy.

The remit of the role covers the following areas core to private banking financial intermediaries markets and asset servicing : Deposit-taking and payment services credit and lending insurance investment management cross-border regulated activities regulated advice and wealth planning.

Key Accountabilities

Regulatory culture : The role holder must carry out all duties in strict accordance with Quintets Code of Conduct and act as its ambassador at all times. As any other member of the Compliance function the role holder will foster a positive culture of compliance across Quintet.
Quintets Regulatory Compliance policies and procedures : Drafting and reviewing Quintets RCC policies and procedures to ensure they remain aligned to the UK and EU regulators expectations and best industry practice.
Supporting the business : Supporting other functions in their policy / procedural making by providing them with the necessary regulatory expertise in those areas.
Regulatory change : Identifying new relevant initiatives from the local regulator and other EU regulators and carrying out regulatory and policy impact analyses.
Interactions with regulators : Responsible for assisting the Merck Finck Head of Compliance in their interactions with Germanregulators and where appropriate assisting Quintets Compliance senior leadership team with their interactions with EU regulator by informing key stakeholders gathering the relevant information and assisting in the drafting of responses in a timely manner.
Governance : Assisting Merck FinckHead of Compliance as well as the Group Head of Regulatory Compliance and Cross Border in the production of technical analyses and reports related to regulatory risk for escalation to the relevant supervisory and governance bodies.
Training : Supporting Merck Finck Head of Compliance as well as the Group Head of Regulatory Compliance and Cross Border in developing and delivering training initiatives relative to regulatory compliance policies.
Other : Carry out any other duty delegated by Compliance senior leadership team as may reasonably be required.

Knowledge and Experience

Good working knowledge of the UK and EU regulatory environment in the RCC topics as listed above

Ability to interpret rules and regulation and communicate the requirements clearly and effectively to a diverse range of stakeholders.

Experience of drawing up and maintaining policies on regulatory requirements

Proven relevant experience in an Assisting germanregulator or Tier 1 private bank legal or professional services firm.

Demonstrable business process knowledge.

Excellent written verbal numeric and comprehension skills and IT proficient.

Attributes and Qualities

Aligns to a team with a strong work ethic who collectively and individually understand the importance of meeting deadlines through a can-do attitude.

Ability to work cooperatively and positively within the team and across the business to engage stakeholders in a positive way with a focus on delivering outcomes.

To work and conduct yourself with skill professionalism discretion and values befitting a member of the Compliance Department.

Ability to engage people effectively in order to recognise and achieve agreed outcomes.

Excellent record keeping

Effective diary and work management

Technical Skills

The Role holder will be regarded as a subject matter expert in regulatory compliance topics applied to wealth management and private banking including : Conduct of Business Investor Protection Market Abuse Sustainability

Languages Skills

Proficient in both German and English required

Intermediate knowledge of other Quintet languages (particularly French) is preferred

Required Experience :

Unclear Seniority

Key Skills

Abinitio,Apprentice,Dermatology,Cost Estimation,Data Networking,Liaison

Employment Type : Advisor

Experience : years

Vacancy : 1

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Regulatory Compliance • München, Bavaria, Germany