Senior Compliance Advisory Officer

vor 2 Wochen

Frankfurt am Main, Deutschland Apollo Solutions Vollzeit

A prestigious and long-standing private bank is looking for an experienced Compliance Advisory Manager/Officer to join a growing compliance function and provide advice to their investment banking arm.

Some of your tasks will be:

- Providing advice and regulatory guidance to the investment banking business, specifically the Investment Banking Continental Europe team, as well as the Equities business including Research and Sales in the Londo branch
- Undertaking Compliance risk assessments and planning to ensure that the Bank is in compliance with relevant rules and regulations
- Conducting surveillance and monitoring - including ad hoc investigations, as required - as part of the firm’s compliance monitoring programme (CMP), and assist in developing the CMP
- Developing and maintaining a proactive relationship with the front office
- Assisting in the implementation and updating of policies and procedure
- Providing compliance support to the Investment Banking Continental Europe team based in the bank’s European offices - Paris, Stockholm and Brussels, and London. Travel to these locations is therefore encouraged
- Working closely with Compliance team members in the Hamburg, Frankfurt and London office locations as well as the bank’s US subsidiary

You will also get involved with some of the other compliance tasks such as monitoring trades and financial crime.

Your profile:

- Significant professional experience in an Investment Banking Compliance role, or comparable position
- Experience of European securities regulation including MiFID II, MAR
- Sound knowledge of European regulation, procedures and processes to be applied
- Broad, analytical and strategic thinking
- Interest in process improvement to drive business performance
- Hands-on attitude, with a flexible approach

You must be willing to travel when needed (especially when you first start) to see your team and stakeholders, be in an office based role, and get involved with the wider compliance function.

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