Compliance Advisor

vor 1 Monat


Frankfurt, Deutschland Principal Asset Management Vollzeit

About the job


What You'll Do

Principal Asset Management is seeking a Compliance Advisor to join their Frankfurt office on a permanent basis. This role offers an opportunity to join a global asset manager with the successful candidate joining part of the European compliance team, responsible for our KVG business in Germany.


Here are a few examples of the kinds of things you’ll do:


  • Build and maintain the compliance framework and monitoring program ensuring effective and robust systems and controls environment are in place.
  • Manage interaction, communication and our relationship with BaFin.
  • Maintain compliance policies
  • Assist in maintaining an effective compliance monitoring program and perform regular reviews.
  • Review and approve marketing materials prepared for the German businesses against regulatory requirements.
  • Understand the relevant requirements, ensure responsibilities are clear and plans are in place for AIFMD in each location
  • Act as point of contact for the external Data Protection Officer and MLRO.
  • Support the business regarding requests related to environmental, social and corporate governance (ESG).


Who You Are

  • Have knowledge of local regulatory requirements applicable to the German KVGs;
  • Ability to interpret European regulatory law applicable to AIFMs (i.e. AIFMD, KAGB, KaMaRisk, KAIT, etc.) is advantageous.
  • Knowledge of regulatory issues and the ability to react quickly to new trends in regulation.
  • Strong interpersonal skills with an ability to communicate with multiple departments and levels across the local and global business including third party service providers and auditors.
  • Candidates need to be fluent in German and English; French is advantageous.
  • 3 to 5 years relevant compliance experience is appreciated.


This is an ideal opportunity for an ambitious individual who is looking to gain exposure to a global business and is seeking to propel their career in a fast-growing and highly regarded asset management business.


Your Experience with us

At Principal, we value connecting on both a personal and professional level. Together, we’re imagining a more purpose-led future for financial services – and that starts with you. Our success depends on the unique experiences, backgrounds, and talents of our employees.


Who we are

Operating at the intersection of financial services and technology, Principal builds financial tools that help our customers live better lives. We take pride in being a purpose-led firm, motivated by our mission to make financial security accessible to all. Our mission, integrity, and customer focus have made us a trusted leader for more than 140 years


Location

Based in our Frankfurt office. This role offers hybrid working, with three days a week in the office.


Posting Window

We will accept applications for 5 full days following the Original Posting Date, after which the posting may remain open or be removed based upon applications received. Please submit applications in a timely manner as there is no guarantee the posting will be available beyond the applicable deadline.



  • Frankfurt, Deutschland Robert Half Vollzeit

    We are looking for an Enterprise Information Security Governance Risk & Compliance Advisor (m/f/d). Join Robert Half's international team as an Enterprise Information Security Governance Risk & Compliance Advisor (m/f/d) and help us shape our future. Our mission is to be a great place to work and to provide a pleasant working atmosphere that enables our...


  • Frankfurt am Main, Deutschland Commerzbank AG Deutschland Vollzeit

    Erhalte einen regulatorischen Einblick in die gesamte Bank und wirke den Risiken aus der Nichteinhaltung rechtlicher Regelungen und Vorgaben entgegen. **Deine Aufgaben**: - Die MaRisk Compliance Funktion nach MaRisk AT 4.4.2 bewahrt die Bank präventiv vor Schäden, indem sie die (dezentrale) Identifikation und Umsetzung aller relevanten und wesentlichen...


  • Frankfurt am Main, Deutschland Robert Half Vollzeit

    We are looking for an Enterprise Information Security Governance Risk & Compliance Advisor (m/f/d). Join Robert Half's international team as an Enterprise Information Security Governance Risk & Compliance Advisor (m/f/d) and help us shape our future. Our mission is to be a great place to work and to provide a pleasant working atmosphere that enables our...

  • Compliance Advisor

    vor 4 Wochen


    Frankfurt, Deutschland Principal Asset Management Vollzeit

    About the jobWhat You'll DoPrincipal Asset Management is seeking a Compliance Advisor (m/w/d) to join their Frankfurt office on a permanent basis. This role offers an opportunity to join a global asset manager with the successful candidate joining part of the European compliance team, responsible for our KVG business in Germany.Here are a few examples of the...


  • Frankfurt am Main, Deutschland Commerzbank AG Deutschland Vollzeit

    Herausforderungen haben wir genug - und jetzt brauchen wir dich, um sie anzugehen! **Deine Aufgaben**: Als Compliance Advisor AML verfolgst du das Ziel, Geldwäsche und Terrorismusfinanzierung abzuwehren. Du stehst in direktem, engem Austausch mit den Vertretern der Business Lines, berätst hinsichtlich der jeweils zu erfüllenden rechtlichen...


  • Frankfurt am Main, Deutschland Robert Half Vollzeit

    We are looking for an Enterprise Information Security Governance Risk & Compliance Advisor (m/f/d).Join Robert Half's international team as an Enterprise Information Security Governance Risk & Compliance Advisor (m/f/d) and help us shape our future.Our mission is to be a great place to work and to provide a pleasant working atmosphere that enables our...


  • Frankfurt am Main, Hessen, Deutschland Robert Half Vollzeit

    We are looking for an Enterprise Information Security Governance Risk & Compliance Advisor (m/f/d).Join Robert Half's international team as an Enterprise Information Security Governance Risk & Compliance Advisor (m/f/d) and help us shape our future.Our mission is to be a great place to work and to provide a pleasant working atmosphere that enables our...


  • Frankfurt am Main, Deutschland CH Excellence GmbH Vollzeit

    Der gesamte Text bezieht sich auf alle Pronomen eines Menschen. Wenn Sie keine Stellenanzeigen von mir verpassen wollen, 'folgen' Sie mir bitte. Danke. **Homeoffice**: 50% **Arbeitsstunden pro Woche**: 37 **Urlaub**: natürlich 30 Tage **Gehalt**: adäquat zur Berufserfahrung Zuschuss zu Pensionsplanung Das Unternehmen ist im klassischen Maschinenbau...


  • Frankfurt am Main, Deutschland Commerzbank AG Deutschland Vollzeit

    Herausforderungen haben wir genug - und jetzt brauchen wir dich, um sie anzugehen! **Deine Aufgaben**: - Du verfolgst das Ziel, Geldwäsche und Terrorismusfinanzierung abzuwehren - Du stehst in direktem, engem Austausch mit den Vertreter*innen der Business Lines, berätst hinsichtlich der jeweils zu erfüllenden rechtlichen regulatorischen Anforderungen...

  • EHS Advisor

    vor 1 Monat


    Frankfurt am Main, Deutschland PM Group Vollzeit

    **EHS Advisor**: - Contract - Onsite - Frankfurt, Germany - Construction - 7283 **Overview - We have a requirement for a EHS Advisor on our large scale Pharmaceutical Construction Project in Frankfurt, Germany. **Responsibilities **Job Role and Responsibilities will include but not be limited to** - Promote and maintain a strong, pro-active health &...

  • Environmental, Health

    vor 2 Monaten


    Frankfurt am Main, Deutschland MTM Engineering Ltd Vollzeit

    MTM Engineering Ltd have a position available for an EHS Advisor in Frankfurt Germany. As an EHS Advisor you will oversee a Data Center project in the assigned country assisting the project team and implement and maintain company management systems for the project. The successful EHS Advisor will coordinate all EHS matters and report any issues directly to...

  • People Advisor

    vor 1 Woche


    Frankfurt am Main, Deutschland Teneo Vollzeit

    **People Advisor - Teneo Germany (based in Frankfurt or Berlin)** **Overall Purpose of Role** The People Advisor holds a position of responsibility within Teneo Germany, spanning the offices in Frankfurt and Berlin. You will be responsible for the daily management of the Teneo Germany’s people, recruitment, and operational needs and the first point of...


  • Frankfurt am Main, Deutschland H&MV Engineering Vollzeit

    **Environmental & Sustainability Advisor Germany** **About Us**: We are a leading HV Electrical Contracting company specializing in the design and construction of electrical substations. We deliver full EPC (Engineering Procurement Construction) turnkey projects, catering primarily to the data centre and renewable sectors. Our comprehensive service...


  • Frankfurt am Main, Deutschland PM Group Vollzeit

    : PM Group has Managed Service Teams on several client facilities across Ireland executing projects through all phases of EPCMCQV. Due to the increased workload on some of these sites, we now wish to appoint a part-time H&S Advisor to support the teams in the safe planning and delivery of their portfolio of projects. Reporting to the MS Site Lead and Group...


  • Frankfurt am Main, Deutschland Deutsche Bank Vollzeit

    **Senior Compliance Officer - Senior Regulatory Control Advisor (d/m/w) im Controls Testing & Assurance Team für die Bereiche Corporate Bank, Investment Bank & Capital Release Unit Germany**: **Job ID**:R0329847**Full/Part-Time**:Full-time**Regular/Temporary**:Regular**Listed**:2024-05-23**Location**:Frankfurt**Position Overview**: **Teambeschreibung und...


  • Frankfurt am Main, Deutschland Proclinical Vollzeit

    Proclinical are partnering with a biotech corporation who are currently recruiting for an individual to join their organisation. This role is on a permanent basis. The opening position is for a Medical Information Advisor where you will be focussing on Vaccines mRNA. For more information, please get in touch now! **Responsibilities**: - Serve as a...


  • Frankfurt am Main, Deutschland Dun & Bradstreet Vollzeit

    **Why Dun & Bradstreet?** Dun & Bradstreet is the world's leading provider of data & analytics in the B2B sector. Dun & Bradstreet's headquarters are in Jacksonville, USA. The company employs 6,000+ people worldwide, including around 260 in Germany at the Frankfurt location. With a differentiated product portfolio based on extensive national and...

  • Sanctions Advisor

    vor 2 Wochen


    Frankfurt am Main, Deutschland Deutsche Bank Vollzeit

    **Sanctions Advisor (M/F/x) - Training & Communication** **Details of the role and how it fits into the team** The position involves assuming the responsibility for the maintenance and provision of globally provided sanctions training material to ensure that the content remains up to date and relevant. In this role you will be responsible for providing...


  • Frankfurt am Main, Deutschland SThree Internal Vollzeit

    **Jobreferenz Nr.**: VN12280 **Vertragsart**: Festanstellung **Gehalt**: VB EUR **Ort**: Frankfurt am Main, Hessen, Deutschland Sie möchten Teil von etwas Großem sein und einen positiven Impact auf das Leben Anderer haben? Wir suchen Persönlichkeiten mit Leidenschaft, Energie und Ehrgeiz. Klingt das nach Ihnen? Dann sind Sie bei uns genau...

  • Senior Tax Advisor

    vor 2 Wochen


    Frankfurt am Main, Deutschland CLARK Vollzeit

    CLARK, seit 2015 aktiv, hat eine klare Vision: Allen Menschen ein sorgenfreies Leben ermöglichen. Unsere Mission ist es, die Versicherungsoptimierung für jeden einfach zu gestalten. Mit unserer App haben Kund:innen einen zentralen Ort zur Verwaltung und Optimierung ihrer Versicherungsverträge - schnell, transparent und mühelos. Unser Erfolgsgeheimnis?...