Compliance and Risk Management Professional

Vor 6 Tagen

Frankfurt am Main, Hessen, Deutschland CMC Markets Vollzeit
Job Summary

CMC Markets is seeking a highly skilled Compliance and Risk Management Professional to support the European Compliance and Anti-Financial Crime function in our Frankfurt office.

Key Responsibilities
  • Develop and maintain documentation, including policies, procedures, and frameworks, to ensure compliance with changing regulatory environments.
  • Assist in preparing responses to regulatory queries and requests, as well as consultation papers.
  • Participate in regulatory audits, organization, coordination, and remediation activities.
  • Review and approve financial promotions, communications with clients, and other client-facing documentation to ensure compliance with regulatory requirements.
  • Ensure compliance with personal account trading and outside business interest requirements.
  • Provide regular and ad-hoc management reporting, coordination of the annual Compliance and AFC Report.
  • Design and deliver compliance training to staff, focusing on key aspects of the business and current regulatory issues.
  • Support the customer complaint handling process and ensure all queries are dealt with.
  • Perform monitoring and reviews, including Market Abuse Monitorings and Client Classifications.
  • Maintain personal and professional development to meet the changing demands of the role.
  • Ensure a clear, fair, and consistent high-quality service is provided to customers, clients, and colleagues.
  • Take all reasonable steps to ensure appropriate confidentiality.
Requirements
  • 3 years of experience in a Compliance and/or AFC role within the area of Capital Markets and Securities Compliance of a financial services institution.
  • Knowledge of European regulatory requirements.
  • An Economic or Legal background is preferred.
  • Fluency in English and German; other European languages are a plus.
About CMC Markets

CMC Markets is a leading financial services company that values diversity and inclusion. We are committed to creating a workplace where our people feel confident to be themselves, feel valued, and are able to do their best work.

  • Compliance and Risk Management Professional

    Vor 3 Tagen

    Frankfurt am Main, Hessen, Deutschland CMC Markets Vollzeit

    Job SummaryCMC Markets is seeking a highly skilled Compliance and Risk Management Professional to support the European Compliance and Anti-Financial Crime function in our Frankfurt office.Key ResponsibilitiesDevelop and maintain documentation, including policies, procedures, and frameworks, to ensure compliance with changing regulatory environments.Assist in...

  • Compliance and Risk Management Professional

    Vor 3 Tagen

    Frankfurt am Main, Hessen, Deutschland CMC Markets Vollzeit

    Job SummaryCMC Markets is seeking a highly skilled Compliance and Risk Management Professional to support the European Compliance and Anti-Financial Crime function in our Frankfurt office.Key ResponsibilitiesDevelop and maintain documentation, including policies, procedures, and frameworks, to ensure compliance with changing regulatory environments.Assist in...

  • Compliance and Risk Management Specialist

    Vor 4 Tagen

    Frankfurt am Main, Hessen, Deutschland RUTRONIK Electronics Worldwide Vollzeit

    About the RoleWe are seeking a highly skilled Compliance and Risk Management Specialist to join our team at RUTRONIK Electronics Worldwide. As a key member of our Governance team, you will be responsible for driving our group-wide Risk Management System and overseeing global risk management activities.Key ResponsibilitiesDevelop and implement organizational...

  • Compliance and Risk Management Specialist

    Vor 6 Tagen

    Frankfurt am Main, Hessen, Deutschland RUTRONIK Electronics Worldwide Vollzeit

    About the RoleWe are seeking a highly skilled Compliance and Risk Management Specialist to join our team at RUTRONIK Electronics Worldwide. As a key member of our Governance team, you will be responsible for driving our group-wide Risk Management System and overseeing global risk management activities.Key ResponsibilitiesDevelop and implement organizational...

  • Risk and Compliance Specialist

    Vor 7 Tagen

    Frankfurt am Main, Hessen, Deutschland MAM Gruppe Vollzeit

    About MAM GruppeMAM Gruppe is a leading organization committed to making education accessible and affordable for everyone, regardless of background, age, or schedule.Job SummaryWe are seeking a highly skilled and experienced Risk and Compliance Lawyer to join our team remotely. As a key member of our organization, you will play a crucial role in ensuring our...

  • Risk and Compliance Specialist

    Vor 5 Tagen

    Frankfurt am Main, Hessen, Deutschland MAM Gruppe Vollzeit

    About MAM GruppeMAM Gruppe is a leading organization committed to making education accessible and affordable for everyone, regardless of background, age, or schedule.Job SummaryWe are seeking a highly skilled and experienced Risk and Compliance Lawyer to join our team remotely. As a key member of our organization, you will play a crucial role in ensuring our...

  • Compliance and Risk Professional

    Vor 7 Tagen

    Frankfurt am Main, Hessen, Deutschland Mazars GmbH & Co. KG Vollzeit

    About the RoleWe are seeking a highly skilled and experienced professional to join our team as a Financial Services Consultant. As a key member of our team, you will play a crucial role in advising banks, financial service providers, and FinTechs on current regulatory requirements, credit processes, and regulatory requirements regarding sustainability...

  • Compliance Officer

    Vor 4 Tagen

    Frankfurt am Main, Hessen, Deutschland Chugai Pharma Germany Vollzeit

    Job SummaryChugai Pharma Germany, a leading pharmaceutical company, is seeking a highly skilled Compliance Officer - European Risk Management and Assurance to join its team. As a key member of the European Risk Management and Compliance Assurance framework, you will be responsible for establishing and advancing data-driven insights and reporting that...

  • Compliance Officer

    Vor 6 Tagen

    Frankfurt am Main, Hessen, Deutschland Chugai Pharma Germany Vollzeit

    Job SummaryChugai Pharma Germany, a leading pharmaceutical company, is seeking a highly skilled Compliance Officer - European Risk Management and Assurance to join its team. As a key member of the European Risk Management and Compliance Assurance framework, you will be responsible for establishing and advancing data-driven insights and reporting that...

  • Compliance Risk Management Specialist

    Vor 7 Tagen

    Frankfurt am Main, Hessen, Deutschland Goldman Sachs Vollzeit

    Our ImpactAt Goldman Sachs, our Compliance division plays a critical role in preventing, detecting, and mitigating compliance, regulatory, and reputational risk across the firm. We achieve this through our enterprise-wide compliance risk management program, which includes assessing compliance, regulatory, and reputational risk, monitoring for compliance with...

  • Compliance Risk Management Specialist

    Vor 5 Tagen

    Frankfurt am Main, Hessen, Deutschland Goldman Sachs Vollzeit

    Our ImpactAt Goldman Sachs, our Compliance division plays a critical role in preventing, detecting, and mitigating compliance, regulatory, and reputational risk across the firm. We achieve this through our enterprise-wide compliance risk management program, which includes assessing compliance, regulatory, and reputational risk, monitoring for compliance with...

  • Risk Management Specialist

    Vor 3 Tagen

    Frankfurt am Main, Hessen, Deutschland Australia and New Zealand Banking Group Limited (ANZ) Vollzeit

    About the RoleWe are seeking a highly skilled Risk Management Specialist to join our Institutional Risk team at ANZ Frankfurt. As a key member of our team, you will be responsible for ensuring the effective management and control of operational risk across our business units.Key ResponsibilitiesDevelop and implement risk management strategies to minimize...

  • Risk Management Specialist

    Vor 6 Tagen

    Frankfurt am Main, Hessen, Deutschland Australia and New Zealand Banking Group Limited (ANZ) Vollzeit

    About the RoleWe are seeking a highly skilled Risk Management Specialist to join our Institutional Risk team at ANZ Frankfurt. As a key member of our team, you will be responsible for ensuring the effective management and control of operational risk across our business units.Key ResponsibilitiesDevelop and implement risk management strategies to minimize...

  • Risk & Compliance Strategist

    Vor 5 Tagen

    Frankfurt am Main, Hessen, Deutschland Horváth Vollzeit

    Job SummaryWe are seeking a highly skilled Senior Risk Management Consultant to join our team at Horváth. As a key member of our Risk & Compliance Excellence team, you will be responsible for managing and mitigating risks across various business areas.Key ResponsibilitiesDevelop and implement risk management strategies to ensure compliance with regulatory...

  • Risk & Compliance Strategist

    Vor 7 Tagen

    Frankfurt am Main, Hessen, Deutschland Horváth Vollzeit

    Job SummaryWe are seeking a highly skilled Senior Risk Management Consultant to join our team at Horváth. As a key member of our Risk & Compliance Excellence team, you will be responsible for managing and mitigating risks across various business areas.Key ResponsibilitiesDevelop and implement risk management strategies to ensure compliance with regulatory...

  • Risk Management Professional

    Vor 5 Tagen

    Frankfurt am Main, Hessen, Deutschland RUTRONIK Electronics Worldwide Vollzeit

    About RUTRONIK Electronics WorldwideRUTRONIK Electronics Worldwide is a leading global distributor of electronic components and automation technology. We are committed to providing our customers with high-quality products, exceptional service, and innovative solutions.Job Description: Risk Management SpecialistAs a key member of our governance team, you will...

  • Risk Management Professional

    vor 2 Wochen

    Frankfurt am Main, Hessen, Deutschland RUTRONIK Electronics Worldwide Vollzeit

    About RUTRONIK Electronics WorldwideRUTRONIK Electronics Worldwide is a leading global distributor of electronic components and automation technology. We are committed to providing our customers with high-quality products, exceptional service, and innovative solutions.Job Description: Risk Management SpecialistAs a key member of our governance team, you will...

  • Director of IT Compliance and Risk Management

    vor 4 Wochen

    Frankfurt am Main, Hessen, Deutschland Cashlink Technologies GmbH Vollzeit

    Key Responsibilities:Design and refine Information Security Management Systems (ISMS) alongside Business Continuity Management Systems (BCMS) to ensure robust protection of information assets.Evaluate and apply relevant legal standards within the IT domain to maintain compliance.Formulate and enforce comprehensive IT policies that align with organizational...

  • Quality Management and Risk Leadership

    Vor 7 Tagen

    Frankfurt am Main, Hessen, Deutschland AGAPLESION Vollzeit

    About AGAPLESIONAGAPLESION is a leading healthcare provider with a strong commitment to excellence in medical and nursing care. Our state-of-the-art facilities and cutting-edge technology enable us to deliver high-quality patient care and services.Job SummaryWe are seeking a highly skilled and experienced professional to lead our Quality Management and Risk...

  • Risk and Compliance Analyst

    vor 4 Wochen

    Frankfurt am Main, Hessen, Deutschland KPMG Vollzeit

    (Entry-Level) Risk and Compliance Analyst - Quality Assurance and Risk Management (m/f/d)Join KPMG in addressing the future challenges faced by our clients. Embrace the diversity of our inquiries and collaborate with us to make a significant impact. Work alongside our legal department and risk management team to assist our business units in identifying,...