Senior Compliance Advisory Officer

vor 1 Monat

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.

  • Compliance Officer

    vor 1 Monat

    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...

  • (Senior) Compliance Officer

    vor 1 Monat

    Frankfurt am Main, Deutschland Indigo Headhunters Vollzeit

    Indigo Headhunters Frankfurt am Main, GermanyPosted 25 minutes ago Permanent Nach Vereinbarung Wir suchen für ein führendes internationales Immobiliendienstleistungsunternehmen einen (Senior) Compliance Officer (all genders) - mit dem Schwerpunkt Financial Security am Standort Frankfurt. Das Unternehmen steht in Deutschland seit über 60 Jahren für...

  • Senior Compliance Officer

    vor 2 Wochen

    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...

  • Senior Compliance Officer

    Vor 3 Tagen

    Frankfurt am Main, Deutschland Leonteq AG Vollzeit

    WHO WE ARE Leonteq is a Swiss fintech company with a leading marketplace for structured investment solutions. Based on proprietary modern technology, the company offers derivative investment products and services and predominantly covers the capital protection, yield enhancement and participation product classes. Leonteq acts as both a direct issuer of its...

  • Continental Europe Advisory

    Vor 3 Tagen

    Frankfurt am Main, Deutschland Santander Vollzeit

    Continental Europe Advisory Country: Germany **WHY YOU SHOULD CONSIDER THIS OPPORTUNITY** **Santander Corporate & Investment Banking (SCIB) **is Santander's global division that supports some of the world's most complex and sophisticated corporate and institutional clients, offering customized services and value-added wholesale products to best meet their...

  • Compliance Officer

    Vor 6 Tagen

    Frankfurt am Main, Deutschland Leonteq AG Vollzeit

    WHO WE ARE Leonteq is a Swiss fintech company with a leading marketplace for structured investment solutions. Based on proprietary modern technology, the company offers derivative investment products and services and predominantly covers the capital protection, yield enhancement and participation product classes. Leonteq acts as both a direct issuer of its...

  • Compliance Officer

    vor 1 Woche

    Frankfurt am Main, Hessen, Deutschland Moody's Vollzeit

    Moody's is a developmental culture where we value candidates who are willing to grow. So, if you are excited about this opportunity but don't meet every single requirement, please apply You may be a perfect fit for this role or other open roles.Moody's is a global integrated risk assessment firm that empowers organizations to make better decisions.At...

  • Compliance Officer

    vor 19 Stunden

    Frankfurt am Main, Hessen, Deutschland Moody's Vollzeit

    Moody's is a developmental culture where we value candidates who are willing to grow. So, if you are excited about this opportunity but don't meet every single requirement, please apply You may be a perfect fit for this role or other open roles.Moody's is a global integrated risk assessment firm that empowers organizations to make better decisions.At...

  • Senior Compliance Officer

    vor 1 Monat

    Frankfurt am Main, Deutschland Deutsche Bank Vollzeit

    **Teambeschreibung und Rollendetails** Für unseren Geschäftsbereich Chief Administrative Office (Controls Testing & Assurance („CT&A“) Germany suchen wir zum nächstmöglichen Zeitpunkt einen Compliance Officer (m/w/d) für das Team Private Bank Germany. Compliance Testing & Assurance ist eine der globalen Schlüsselfunktionen der Deutsche Bank AG...

  • Senior Consultant Regulatory Advisory

    vor 3 Wochen

    Frankfurt am Main, Hessen, Deutschland Deloitte Germany Vollzeit

    Senior Consultant Regulatory Advisory / Financial Services (m/w/d) Du willst im BereichAudit & Assurance – Financial Services Industry AssuranceKunden bei der klassischen Jahresabschlussprüfung unterstützen? Unser Team bietet ganzheitliche Prüfungs- und Beratungslösungen rund um Compliance, Analytics & Risk Management. Sichere unseren gemeinsamen...

  • Senior Consultant Regulatory Advisory

    vor 1 Monat

    Frankfurt am Main, Hessen, Deutschland Deloitte Germany Vollzeit

    Senior Consultant Regulatory Advisory / Financial Services (m/w/d) Du willst im BereichAudit & Assurance – Financial Services Industry AssuranceKunden bei der klassischen Jahresabschlussprüfung unterstützen? Unser Team bietet ganzheitliche Prüfungs- und Beratungslösungen rund um Compliance, Analytics & Risk Management. Sichere unseren gemeinsamen...

  • Senior Consultant Regulatory Advisory

    vor 19 Stunden

    Frankfurt am Main, Hessen, Deutschland Deloitte Germany Vollzeit

    Senior Consultant Regulatory Advisory / Financial Services (m/w/d) Du willst im BereichAudit & Assurance – Financial Services Industry AssuranceKunden bei der klassischen Jahresabschlussprüfung unterstützen? Unser Team bietet ganzheitliche Prüfungs- und Beratungslösungen rund um Compliance, Analytics & Risk Management. Sichere unseren gemeinsamen...

  • Senior Consultant Regulatory Advisory

    vor 18 Stunden

    Frankfurt am Main, Hessen, Deutschland Deloitte Germany Vollzeit

    Senior Consultant Regulatory Advisory / Financial Services (m/w/d) Du willst im BereichAudit & Assurance – Financial Services Industry AssuranceKunden bei der klassischen Jahresabschlussprüfung unterstützen? Unser Team bietet ganzheitliche Prüfungs- und Beratungslösungen rund um Compliance, Analytics & Risk Management. Sichere unseren gemeinsamen...

  • Senior Compliance Officer

    vor 14 Stunden

    Frankfurt am Main, Deutschland JLL Vollzeit

    JLL supports the Whole You, personally and professionally. We are looking for a Compliance Officer. The Compliance Officer supports the EMEA Head of Compliance across the entire JLL business (e.g. Agency, Investment, Project & Development Services) and all support functions (e.g. Finance, HR, IT Services, Procurement). This primary role is to primarily...

  • Risk and Compliance Officer

    vor 1 Monat

    Frankfurt, Deutschland Angove Partners Vollzeit

    Risk and Compliance Officer, GermanyAbout the CompanyOur client is a Global Insurance Broker that is expanding its offering in arranging transactions in securities and other investments that complement its core insurance broking business. Our client is in the process of applying for authorisation for a new MiFID investment firm in Germany to support its...

  • (Senior) Manager

    vor 1 Monat

    Frankfurt, Deutschland WTS Advisory AG Vollzeit

    Du hast schon viele Projekte gemeistert und willst noch höhere Berge erklimmen? Dann entwickle Dich bei der WTS Advisory zur Expeditionsleiterin/zum Expeditionsleiter mit Fokus auf Financial Advisory!AufgabenDu arbeitest auf Projekten mit einem Fokus auf ESG in unserem interdisziplinären Team.Du unterstützt unsere Mandantinnen/Mandanten beispielsweise bei...

  • (Senior) Manager

    vor 24 Stunden

    Frankfurt, Deutschland WTS Advisory AG Vollzeit

    Du hast schon viele Projekte gemeistert und willst noch höhere Berge erklimmen? Dann entwickle Dich bei der WTS Advisory zur Expeditionsleiterin/zum Expeditionsleiter mit Fokus auf Financial Advisory!AufgabenDu arbeitest auf Projekten mit einem Fokus auf ESG in unserem interdisziplinären Team.Du unterstützt unsere Mandantinnen/Mandanten beispielsweise bei...

  • Senior Compliance Officer

    vor 1 Monat

    Frankfurt, Deutschland Selby Jennings Vollzeit

    Responsibilities:Framework Development & Compliance OversightSupport Head of Compliance in developing EU compliance framework (MaComp, MiFID II).Ensure adherence to key regulations (MaComp, MiFID II) across the organization.Have a view to an EU development of regulatory topics, assisting the branches across Europe.Policy Development & ImplementationDevelop...

  • Compliance Officer

    vor 1 Woche

    Frankfurt, Deutschland Moody's Vollzeit

    Moody’s is a developmental culture where we value candidates who are willing to grow. So, if you are excited about this opportunity but don’t meet every single requirement, please apply! You may be a perfect fit for this role or other open roles. Moody's is a global integrated risk assessment firm that empowers organizations to make better decisions. ...

  • Compliance Officer

    vor 19 Stunden

    Frankfurt, Deutschland Moody's Vollzeit

    Moody’s is a developmental culture where we value candidates who are willing to grow. So, if you are excited about this opportunity but don’t meet every single requirement, please apply! You may be a perfect fit for this role or other open roles. Moody's is a global integrated risk assessment firm that empowers organizations to make better decisions. ...