Job Category : Legal & Compliance
Job Industry : Banking
A mid-sized Investment Bank in North Rhine-Westphalia is currently searching for a Compliance Manager (f/m) to oversee its capital markets business.
Responsiblities:
- Identify and analyse the compliance risks of the Bank in according to MaComp
- Carry out monitoring procedures, document the results and follow the defined measures.
- Further develop the methodology for the planning, implementation and documentation of monitoring procedures
- Contribute to the reporting of the compliance function according to MaComp
- Accompany internal and external audits
- Design compliance structures, internal guidelines and specifications
- Contribute to the further development of the compliance infrastructure and the operational processes with regard to compliance
- Advise employees on compliance-relevant issues, in particular in the area of conflict management (eg authorization management)
- Identify and analyse compliance-relevant regulations in the German and European regulatory environment, communicate these and accompany their implementation in the bank
- Plan and conduct training as required
Your profile:
- Degree in legal or economics ideally with additional qualification in regulatory / compliance
- Professional experience in the compliance area of an auditing company and / or a bank with a focus on capital markets / compliance (in particular with regard to the analysis and quantification of risks as well as monitoring procedures)
- Knowledge of the German and European regulatory environment (eg MiFID II, MiFIR, MAR, MaComp)
- Knowledge in the areas of commercial transactions, banking transactions and market infrastructure, banking and capital market law and / or asset management are an advantage
- Fluent in German and English