Compliance Director for Financial Markets

Vor 7 Tagen

Frankfurt am Main, Hessen, Deutschland Hirschman Associates Vollzeit

Our company, Hirschman Associates, specializes in the Banking and Financial services sector, within the D-A-CH region, with a particular focus on Compliance, Legal, Risk, and other Mid- to Senior level roles in Middle- and Back-office. We are seeking a suitably qualified Compliance Manager to support our client, a leading international financial services company, in its European Compliance & Anti Financial Crime function in the Frankfurt office.

Job Overview

This role offers a responsible and challenging opportunity to work in a dynamic international environment, with a focus on providing a high-quality service that consistently projects a professional and positive image to clients, colleagues, and other stakeholders. The Compliance Manager will be responsible for ensuring adherence to personal account trading and outside business interest requirements, as well as managing regular and ad hoc reporting, coordinating the annual Compliance & AFC Report.

Job Responsibilities
  • Compliance and Risk Management: Assist in developing documentation, including policies, procedures, and frameworks, aligned with evolving regulatory standards. Aid in preparing responses to regulatory queries, requests, and consultation papers as applicable. Participate in regulatory audits, organization, coordination, and remediation activities.
  • Quality Control and Assurance: Review and approve financial promotions, client communications, and other client-facing documents (e.g., marketing materials, websites, videos) impacting local clients in accordance with relevant regulations and company policies.
  • Training and Development: Design and deliver tailored compliance training to staff, focusing on business-specific and regulatory issues; organize, administer, and track training completion.
  • Customer Support: Support customer complaint handling, assisting senior management and employees to ensure timely and appropriate resolution of all queries.
  • Day-to-Day Operations: Address day-to-day requests from various departments within the company. Perform monitoring and reviews (e.g., Market Abuse Monitoring, Client Classifications).
  • Control and Compliance: Conduct second-level controls as defined in the Control Plan.
  • Personal and Professional Development: Maintain personal and professional development to meet evolving demands, including relevant regulatory and legislative training.
Requirements and Qualifications
  • Prior experience in a Compliance (and/or AFC) role within Capital Markets and Securities Compliance, preferably within an international investment firm or financial institution.
  • Strong understanding of European regulatory requirements.
  • Preferred educational background in Economics or Law.
  • Fluency in English and German; additional European languages are an advantage.
Estimated Salary Range

The estimated salary range for this role is €80,000 - €110,000 per annum, depending on experience and qualifications.

Benefits and Career Opportunities
  • Learning opportunities / training and study support
  • International environment
  • Responsible role with career perspective
  • Modern office spaces
  • Pension with BVV
  • Share incentive plan and Life insurance

We, at Hirschman Associates, are an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees.

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