Junior Compliance Officer

vor 2 Wochen

Frankfurt am Main, Deutschland Saxton Leigh Vollzeit

**THE COMPANY**:
Our client is one of the worlds most recognisable brokerages. The work on behalf of hedge funds, asset managers and pension funds to name just a few. They are looking for a Junior Compliance Officer to join their office based in Frankfurt where they will gain broad experience and exposure to senior management from day one.

**THE RESPONSIBILITIES**:

- Perform statutory responsibilities under German Law, and specifically act as the Deputy Money Laundering Officer for Anti Money Laundering (AML) and Combatting Terrorist Financing (CTF) in accordance with Sec. 25h German Banking Act and the German Anti Money Laundering Act for all brokerage services and for GmbH as the operator of a multi-lateral trading facility (MTF)
- Assist with the client on-boarding for GmbH brokerage business as well as for the Business in Europe;
- Assist and coordinate in responding to requests for information from regulators, authorities, trading venues, auditors and other third parties in relation to all GmbH business, in particular also act on behalf of GmbH as a contact with various trading venues;
- At the instruction of your Manager provide written or oral advice and reports, as requested, to GmbH’s management board or business functions regarding regulatory issues, including relevant language translations of European Compliance guidance;
- Proactively report and escalate any regulatory issues to the Head of European Compliance
- Undertake periodic and regular compliance risk assessments;
- Prepare management information for relevant working groups and be the key GmbH representative for Compliance within working groups, escalating any concerns to the Head of European Compliance;
- Support the GmbH Management Board in management information required and clarification of regulatory requirements, as applicable;
- Promote the good conduct culture and awareness of conduct risk within GmbH and its branches;
- Assist and coordinate supervision of Compliance outsourced activities for GmbH taking into consideration MaRisk requirements and provide corresponding Management Information to the Head of European Compliance.

**EXPERIENCE REQUIRED**:

- 1-5 years experience of European regulatory requirements for a broker, bank or asset manager
- Knowledge of German specific rules (WpIG, WpHG, MaComp, MaRISK etc) is desirable
- Knowledge of EU equity exchanges and trading platform market conduct rules,
- Proven analytical skills to decipher and analyse large amounts of transactional data, whilst maintaining attention to detail,
- Experience at writing regulatory requirements for systems development and participation in User Acceptance Testing (UAT),

For further information please contact Jordan White

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