Specialist, Regulatory Compliance
vor 1 Monat
**Job***: Compliance
**Primary Location***: Europe & Americas-Germany-Frankfurt
**Schedule***: Full-time
**Employee Status***: Permanent
**Posting Date***: 21/Apr/2023, 5:09:47 AM
**Unposting Date***: Ongoing
**The Role Responsibilities**
- To support the MaRisk Compliance function (AT 4.4.2. MaRisk) as the senior member of staff ensure the comprehensive tracking and disseminating of relevant laws and regulation applicable to SCB AG as well as support the maintenance of the Obligations Register according to the respective Standard and DOI under the supervision of the Head of CFCC Governance.
- To monitor, screen and assess all existing, upcoming, new and amended laws, regulation, rules and requirements (incl. circulars, guidelines and best practice/ market standards).
- To provide advice on upcoming regulation in a timely manner.
- To provide compliance advice, support and oversight to the businesses and the functions in Germany and, as appropriate, in the EEA with respect to all relevant regulatory and supervisory requirements as outlined above.
- Under the direction of the Head of CFCC Governance:
- assist in the provision of Compliance training to German staff and other countries if necessary;
- assist in the review, drafting and implementation/ roll out of written documentation (i.e. policies and standards, etc.);
- ensure compliance of all policies, standards and manuals with applicable German laws and regulation;
- assist in identification and the analysis of new regulatory initiatives to ensure all material matters are considered and any necessary procedures are implemented, including providing training to relevant staff;
- development of relationships and regular liaison with ORMs and other operational risk functions and product development teams to ensure that Compliance are aware of all material developments;
- provide Compliance advise to all queries from other stakeholders of SCB and the Group with respect to German regulation and other applicable requirements;
- assist in designing and implementation of control standards for all relevant processes and activities in order to ensure overall Compliance of SCB AG with applicable laws and regulation;
- assists in relevant testing and quality assurance work as well as monitoring activities as first line and second line of defence under the ORF/ ERMF (as far as deemed necessary);
- assisting the Head of CFCC regarding any regulatory queries and/ or investigations, audits/reviews (both, internally or externally) and in the completion or resolution of related matters;
- assist in audit remediation tasks;
- assist in any regulatory communication.
**Risk Management**
- Ensuring Second Line oversight and challenge responsibility in terms of Compliance Risk Sub-Types or assigned Compliance (granular) Risk Sub-Types
- Together with Head of Governance contribute to the development and performing of the overall Risk Assessment and annual Compliance Monitoring Plan to ensure that compliance risks in SCB AG are appropriately mitigated.
- Identifying and measuring Compliance risks to be able to assess the impact and likelihood of a particular risk materializing.
**Review and assurance activities**
- Conduct where needed systematic control testing in accordance with CCA methodology to ensure the local stakeholders perform their activities related to Regulatory Change Management in line with documented requirements.
- This includes working in collaboration with the relevant Risk or Process Owners to conduct a periodic review to provide assurance over whether lower regulatory risks are being effectively managed and are well controlled.
- Provide support of execution of the risk-based Compliance Review and Assurance activities under the guidance and oversight of the Head of Governance and support the development and enhancement of the Compliance Review/Assurance Program to provide second line assurance of external rules and regulations, regulatory reform initiatives, and internal Compliance Policy & Procedure requirements.
- Participate in the analysis of issues identified and contribute to the reporting of findings/recommendations to relevant Compliance Risk Owners for their consideration and action.
**Responsibilities**
- Maintain a thorough understanding of legislative and regulatory developments as relevant for the areas of responsibilities to fulfil the role in an adequate manner (e.g. through trainings, workshops, networking etc.) and ensure timely implementation by the relevant departments.
- Inform and advise the bank and the relevant stakeholders of their obligations pursuant to applicable local laws and regulations.
- Provide advice to all stakeholders in SCB AG on prudential requirements, in particular CRR, KWG/ MaRisk and other governance and prudential requirements as well as other relevant material requirements.
- Support supervisory audits and authority requests.
- Monitor compliance with regulatory requirements as necessary for your area of
-
Frankfurt am Main, Deutschland Goldman Sachs VollzeitOUR IMPACT Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second...
-
Frankfurt am Main, Deutschland Goldman Sachs VollzeitOUR IMPACT Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second...
-
Compliance, Regulatory Affairs, Analyst, Frankfurt
vor 2 Wochen
Frankfurt am Main, Deutschland Goldman Sachs VollzeitOUR IMPACT Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line...
-
Frankfurt am Main, Deutschland Goldman Sachs VollzeitOUR IMPACT Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second...
-
Frankfurt am Main, Deutschland Goldman Sachs VollzeitOUR IMPACT Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second...
-
Frankfurt am Main, Deutschland Goldman Sachs VollzeitOUR IMPACT Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second...
-
Frankfurt, Deutschland Goldman Sachs VollzeitOUR IMPACT Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of...
-
Frankfurt, Deutschland Goldman Sachs VollzeitOUR IMPACT Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of...
-
Compliance, Regulatory Affairs, Analyst, Frankfurt
vor 2 Wochen
Frankfurt, Deutschland Goldman Sachs VollzeitOUR IMPACT Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of...
-
Frankfurt, Deutschland Goldman Sachs VollzeitOUR IMPACT Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of...
-
Regulatory Affairs Specialist
vor 4 Wochen
Frankfurt Am Main, Deutschland Biomatch GmbH VollzeitIm Auftrag unseres Kunden, eines renommierten Unternehmens im Bereich der Biotechnologie-Industrie, nach einem erfahrenen Regulatory Affairs Specialist (m/w/d). Das Unternehmen ist ein weltweit bekanntes biopharmazeutisches Unternehmen mit Hauptsitz in Südkorea und hat sich zu einem führenden Unternehmen in der Branche entwickelt. Es ist spezialisiert auf...
-
Compliance Officer
vor 4 Wochen
Frankfurt am Main, Deutschland Angove Partners Vollzeit**About the Company** **Role Summary** You will play a crucial role in ensuring compliance with regulatory requirements for the company's Capital Markets & Advisory business in Europe. In addition to Risk & Compliance, you will also take on the role of Money Laundering Reporting Officer (MLRO) and provide compliance support for Group investment business...
-
Frankfurt am Main, Deutschland Goldman Sachs VollzeitCompliance, Regulatory Affairs, Vice President, Frankfurt Compliance, Regulatory Affairs, Vice President, Frankfurt Goldman Sachs Frankfurt am Main, Germany Posted 2 months ago Permanent Competitive Compliance, Regulatory Affairs, Vice President, Frankfurt OUR IMPACT Our division prevents, detects and mitigates compliance, regulatory and...
-
Regulatory Affairs Specialist
vor 4 Wochen
Hochheim am Main, Deutschland Aero Pump GmbH Vollzeit**SIE SIND GEFRAGT** Aero Pump ist immer interessiert an qualifizierten, engagierten Mitarbeitenden. Seit über 40 Jahren verkauft Aero Pump weltweit Nasenpumpen und Pumpen für dermale, orale, otologische und inhalative Anwendungen und bietet optimale Lösungen im Primärpackmittelbereich für den pharmazeutischen und kosmetischen...
-
Regulatory Affairs Specialist
vor 1 Woche
Frankfurt am Main, Deutschland Deutsche Börse Vollzeit**Learn. Develop. Grow. But always: Share value**: Join our international team that drives positive change, united by a spirit of openness and curiosity. We empower you to have an impact and to grow - personally and professionally. With us, you work at the heart of financial systems and evolve the way markets operate. We’re excited about the future because...
-
Director (m/f/d) – FSI – Regulatory & Compliance
vor 1 Monat
Frankfurt am Main, Hessen, Deutschland Alvarez and Marsal VollzeitDescription A&M Financial Services Industry (FSI) revolves around core areas of expertise: Performance Improvement, Restructuring, Disruptive and Regulatory and Compliance (R&C) Advisory. A&M's dedicated Financial Services professionals work on some of the world's most high-profile cases in a rapidly transforming financial institution landscape, striving...
-
Senior Specialist Regulatory Reporting m/w/d
vor 4 Wochen
Frankfurt am Main, Deutschland Randstad Deutschland VollzeitWir suchen:Senior Specialist Regulatory Reporting m/w/dDie Abkürzungen Bista, Zista, Austa sind Bestandteil Ihrer täglichen Arbeit und Sie suchen eine neue berufliche Herausforderung im Bankenbereich? Dann sollten wir uns kennenlernen!Unser Kunde ist der Financial Service einer der sechs größten Aut...
-
Dws - Information Security Compliance Specialist
vor 4 Wochen
Frankfurt am Main, Deutschland Deutsche Bank Vollzeit**About DWS** DWS Group (DWS) with EUR 841bn of assets under management (as of 31 March 2023) aspires to be one of the world's leading asset managers. Building on more than 60 years of experience, it has a reputation for excellence in Germany, Europe, the Americas and Asia. DWS is recognized by clients globally as a trusted source for integrated investment...
-
Vp Compliance
Vor 3 Tagen
Frankfurt am Main, Deutschland Moody's Vollzeit**Responsibilities**: - Develop and advise on processes and procedures to implement Compliance policies based on local requirements in particular with respect to the regulatory environment in the EU. - Identify differences between local laws, regulations and company policies to recommend solutions as appropriate. - Advise the business on the material to be...
-
Senior Specialist
vor 4 Wochen
Frankfurt am Main, Deutschland Hauck Aufhaeuser Lamp Private Bank AG VollzeitSenior Specialist (m/w/d) Regulatory Reporting - Frankfurt - CRO - Vollzeit - unbefristet CHALLENGE YOURSELF: Du möchtest deine persönliche Entwicklung und berufliche Laufbahn aktiv mitgestalten? Dann bist du bei uns richtig! Hauck Aufhäuser Lampe ist eine innovative und unabhängige Privatbank, die auf eine über 226-jährige Tradition blickt. An...
