Senior Compliance Officer

vor 3 Monaten

Frankfurt am Main, Deutschland Berenberg Vollzeit

Beschreibung & AnforderungenFor our **Compliance** Team we are looking to hire:
**Senior Compliance Officer (Investment Banking), Frankfurt**

The Investment Bank Compliance team at Berenberg forms part of the bank’s Group Compliance division. Team members are located in the bank’s Hamburg, Frankfurt and London offices. This role, based in Frankfurt, will primarily support Compliance coverage of the bank’s Continental European Investment Banking and Equities activities. Investment Banking Continental Europe (based across various European offices) provide services to corporate clients in relation to primary and secondary issuances, placement of existing shares,, private company fundraising and advisory services. Berenberg’s Equities platform includes Research, Sales and Trading functions.

**Your tasks**:

- 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 London 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 procedures
- Involvement in project-based work
- Organising and conducting individual and team training sessions
- 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

**Your profile**:

- Significant professional experience in an Investment Banking Compliance role, or comparable position
- Experience of European securities regulation including MiFID II, MAR
- Experience in Research, Sales and Trading compliance advantageous
- Sound knowledge of European regulation, procedures and processes to be applied
- Commitment to an in-office culture with regular face-to-face stakeholder engagement
- Degree educated, or equivalent
- Broad, analytical and strategic thinking
- Interest in process improvement to drive business performance
- Ability to work well in a cross-border team and independently, using own initiative
- Ability to work well in a high-pressure environment, with strong prioritising skills
- Hands-on attitude, with a flexible approach
- Excellent written and verbal presentation skills
- Proficiency in Microsoft Excel, PowerPoint and Word

**We offer**:

- Varied and exciting range of tasks in a modern working environment
- Creative leeway
- Voluntary additional benefits such as BVV, VWL, travel expenses and meal vouchers
- Company pension scheme
- Attractive remuneration package
- Berenberg mentor system
- Company health and sports facilities
- Various employee benefits

**Have we sparked your interest?**

Berenberg - Human Resources - Carlo Sannino
Bockenheimer Landstraße 25 - 60325 Frankfurt

Established in 1590, Berenberg is one of the oldest banks in the world, and with this heritage comes fantastic opportunities for bright and aspiring individuals. With its Head Office in Hamburg, Germany, and with a strong presence in the financial centres of London, Frankfurt and New York, it is one of Europe’s leading privately-owned banks. 1,600 employees carry the Bank’s long tradition of success into the future. Through its business divisions of Investment Banking and Corporate Banking, Wealth and Asset Management, Berenberg is able to offer a broad range of services into corporations, investment institutions and private individuals.
- Berenberg has a strong reputation based on first-class performance, and although the company has a long history it remains entrepreneurial in its approach. A combination of the meritocratic culture and flat hierarchy enables talent to flourish and progress at Berenberg._

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