Markets Compliance Officer m/w/d

vor 4 Wochen

Frankfurt, Deutschland Hirschman Associates Vollzeit

Our client, an international bank, is seeking a highly motivated and experienced Markets Compliance Officer to join their compliance team in Frankfurt. The ideal candidate will have extensive knowledge of German and EU regulatory requirements, with a strong background in financial services and markets, trading and sales environments, and transaction reporting requirements under MiFIR, EMIR, and SFTR. The role requires expertise in investment products, booking systems, and the ability to provide strategic advice to businesses on compliance with laws, rules, and regulations.

Tasks

  • Regulatory Compliance:
    Ensure compliance with German and EU regulatory requirements, particularly relating to financial services and markets.

  • Monitor and interpret relevant laws, rules, and regulations to ensure the bank's activities comply with all applicable legal and regulatory standards.

  • Oversee transaction reporting requirements under MiFIR, EMIR, and SFTR.

  • Ensure accurate and timely submission of transaction reports to relevant regulatory bodies.

  • Develop and maintain robust processes and controls to ensure ongoing compliance with transaction reporting obligations.

  • Advise trading and sales teams on regulatory requirements and compliance best practices.

  • Provide guidance on the compliance implications of new products, services, and business initiatives.

  • Develop and deliver training programs to enhance staff awareness and understanding of compliance issues.

  • Monitoring and Surveillance:

  • Implement and maintain effective monitoring and surveillance systems to detect and prevent non-compliance.

  • Conduct regular reviews and audits of trading and sales activities to identify and address potential compliance risks.

  • Investment Products and Booking Systems:

  • Ensure compliance of investment products with regulatory requirements.

  • Oversee the integrity and compliance of booking systems, ensuring all transactions are accurately recorded and reported.

  • Policy Development and Implementation:

  • Develop and update compliance policies and procedures in line with regulatory changes and best practices.

  • Ensure effective implementation of compliance policies across the organization.

  • Stakeholder Engagement:

  • Liaise with internal and external stakeholders, including regulators, auditors, and business units, to address compliance matters.

  • Participate in industry forums and working groups to stay abreast of regulatory developments and industry trends.

Requirements
  • Bachelor's degree in Law, Finance, Business, or a related field.
  • Professional certification in compliance (e.g., ICA, ACAMS) is preferred.
  • Several years of experience in a compliance role within financial services, with a focus on markets and trading.
  • In-depth knowledge of German and EU regulatory requirements, including MiFIR, EMIR, and SFTR.
  • Strong understanding of investment products and booking systems.
  • Excellent analytical, communication, and interpersonal skills.
  • Ability to work independently and collaboratively in a fast-paced environment.
  • Fluency in English and German is essential.
Benefits
  • hybrid working model
  • corporate benefits
  • BVV / Insurance Benefits
  • modern office spaces
  • international environment

Our client is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees

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