Compliance Director

vor 1 Monat

Frankfurt am Main, Deutschland WTW Vollzeit

**Together, we unlock potential.**
The Company **Compliance Function’s **aim is to proactively support WTW to generate sustainable value, helping the company to deliver good client outcomes, manage its conduct, protect against regulatory risk, and to maintain strong regulatory relationships. We aim to be a trusted partner to the **business Investments**, which provides a comprehensive suite of solutions to deliver better outcomes to savers - through fiduciary management, specialist strategies, advisory investment services and manager research. The business activity is regulated. Within WTW’s internal control system, we form part of the Second Line of Defence, as a function independent from daily business activities.

Our Every Day Effect is to inspire ethical decisions. Compliance is a trusted Professional Partner, supporting WTW’s sustainable business growth by providing pragmatic advice, oversight, and effective challenge.

To support the growth of the EU Investments Compliance team located either in **Germany **or **Ireland**, we are looking for a

**Compliance Director (M/F/d) - Europe Investments**
**(Job ID 202301464)**

**What can you expect?**

As Compliance Director - Europe Investments you would lead the management and coordination of WTW Group and EU Compliance policies and procedures, identify applicable regulatory requirements and assist in implementing relevant processes to enable standards to be met within EU investments. You would also provide guidance and training and monitor compliance with EU regulatory obligations and implemented controls within the Compliance Program. The Compliance team leads the management and coordination of the requirements of our global regulators. Specifically, in this role you would be responsible for the following activities:

- Support the development, implementation, embedding and maintenance of
- an efficient and independent European Compliance Function
- a European Regulatory Change framework, including horizon scanning for European regulatory developments and reporting any new or proposed regulation or legislation that may impact the Relevant Business to relevant business and Compliance stakeholders
- an efficient European Compliance framework of policies and procedures, training, systems and controls, including suitable review and oversight procedures
- Delivery of the annual Europe Investments Compliance Plan
- Provide Compliance support, including Financial Crime, to European Investments Compliance teams on business proposals, M&A transactions, new entity, or branch set-up, etc.
- Partnering with investment business management to define the Europe Investments Compliance strategy
- Provide Financial Crime technical advice on key topics impacting the European Investment Business and support the European Business Compliance Partners on questions and queries raised on these matters
- Develop a Europe Investments Compliance Monitoring plan and framework
- Carry out monitoring activities in line with the priorities set in the annual European Investments Compliance Plan and on an ad-hoc basis, ensuring that remedial action is taken, and material issues, incidents and breaches are escalated to relevant stakeholders
- Support effective relationships and interactions with European regulators and relevant European supervisory authorities or self-regulating bodies
- Represent Investments business in relevant European industry or similar associations or groups as appropriate
- Act as a professional, trusted and transparent European Business Partner to the Investments business and other stakeholders

**What are you bringing?**
- Strong communication skills - fluent speaker in both German and English (in verbal and writing)
- Strong knowledge of European regulations and laws relating to financial services, particularly investment management
- Good experience (e.g., previous interaction) with European regulators as well as Compliance monitoring experience
- Good understanding of key industry topics such as Sanctions, AML, ESG, MiFID, outsourcing, operational resilience, amongst others
- Strong knowledge in risk management within financial services, e.g., assessing and developing a compliance risk profile, identifying material regulatory risks, analysing compliance risk dashboards, etc.
- Strong regulatory and corporate governance knowledge/understanding
- Excellent interpersonal and influencing skills, with the ability to engage effectively at all levels and particularly with the European Compliance Business Partners to promote an effective and business focused compliance culture
- Ability to work, both individually and as a team, under pressure to tight timelines and without direct supervision
- Flexible if and when required to travel to London, UK and/other European sites
- Commercial awareness - a commercial and pragmatic approach to managing compliance risks
- Commitment to continuous professional development and maintaining excellent understanding of European

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