Compliance Officer
Our client excels in the fintech sector by providing innovative investment solutions through advanced technology. They collaborate closely with financial institutions, including insurance companies and banking organisations, offering products that enhance their operations.
As a result of their cutting-edge approach and strategic partnerships, they are experiencing significant growth and high turnover.
We are in search of an organised, innovative, and proactive Compliance Officer to join them and collaborate with the local Head of Compliance on regulatory issues.
The Role and Responsibilities
- Assist the Compliance Head in crafting and sustaining a comprehensive and unified compliance structure across Europe, emphasizing key regulations.
- Ensure adherence to essential regulatory requirements by formulating and upholding policies, procedures, and risk management procedures.
- Conduct and document risk analysis and develop monitoring measures as needed.
- Deliver compliance reports to local management in accordance with regulations, and liaise with internal and external auditors with the local Compliance Head.
- Serve as Deputy Compliance Officer when required.
- Perform regular risk-based monitoring activities and establish risk mitigation measures.
- Ensure conflicts of interest are managed or appropriately considered.
- Provide guidance on Product Governance and ensure compliance across Europe.
- Oversee the complaints-handling process to meet regulatory standards.
- Offer expertise on regulatory aspects, including staff training, daily assistance, and policy development within the investment services framework.
Qualifications
- Bachelor’s degree in law or a related discipline.
- At least 5 years of experience in compliance roles within the financial services industry.
- In-depth knowledge of EU financial regulations and directives.
- Strong experience in designing and implementing compliance programs and policies.
- Excellent communication skills- particularly with EU regulators and auditors.
- Advanced analytical and problem-solving skills.
- Fluency in English and German is essential, ideally at minimum C1 proficiency for both.
This role is based in Frankfurt on a full-time basis. Salary has not been confirmed at present, but is expected to be around €100,000 per annum.
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