Compliance Manager (f/m) – Capital Markets

Categories: Legal & Compliance / 10. März 2017 / Experience: 3-5 Years / Industry: Banking /
  • Permanent
  • Duesseldorf, DE
  • Diese Position wurde vergeben

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.


  • 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

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