Compliance Manager m/f/d - Capital Markets & Securities Compliance

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 client-facing 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 business-specific 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 day-to-day requests from various departments within the company.Perform monitoring and reviews (e.g., Market Abuse Monitoring, Client Classifications).
• Conduct second-level controls as defined in the Control Plan.
• Maintain personal and professional development to meet evolving demands, including relevant regulatory and legislative training.
• Provide a high-quality 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.

We, from Hirschman Associates, specialize in the Banking and Financial services Sector, within the D-A-CH region, with a particular focus on Compliance, Legal, Risk, and other Mid- to Senior level roles in Middle- and Back-office.

We place great emphasis on being discreet and professional, ensuring that all our processes are conducted with the utmost sensitivity and confidentiality.