Compliance Officer

Vor 3 Tagen

Frankfurt am Main, Deutschland MAM Gruppe Vollzeit

**Tasks**:

- Primary compliance reviewer and approver of financial promotional and marketing materials in Europe (mainly) and, to a lesser extent, globally.
- Communicate content issues and required revisions in a respectful and succinct manner; explain the regulatory rationale for the changes; and propose creative options to achieve content compliance.
- Identify trends in data monitoring and oversight, advise on potential hazards, and mentor businesses on marketing regulatory needs.
- Identify and manage compliance, regulatory, and reputational issues for the company's European and global operations
- Implement regulatory standards for the company's European operations in order to provide a strong risk and regulatory framework
- Examine methods, practises, and documents on a regular basis to discover potential flaws or dangers.
- Ensure that the accompanying policies are relevant and up to date, and that they are widely publicised.
- Act as a counterpart for internal and external partners, including as regulators and industry bodies; collaborate on a variety of business-as-usual control tasks; Participate in compliance-related or cross-functional projects.

**Requirements**:

- University Degree, preferably in Law, Economics, or a related field of study
- Ideally 5+ years compliance experience in the financial industry, preferably with an international asset management firm
- Excellent knowledge of the European regulatory environment (for example, AIFMD, UCITS, and MiFID)
- Experience in the review of marketing communications relating to UCITS and AIFMD A second language would be advantageous.

  • Compliance Officer

    vor 1 Woche

    Frankfurt am Main, Deutschland Moody's Vollzeit

    Moody's is a global integrated risk assessment firm that empowers organizations to make better decisions. The Compliance Officer will work in an evolving regulatory environment and will assist the Compliance Department, in particular the EMEA Compliance team in developing, implementing and administering the Company's compliance program. The individual will...

  • Compliance Officer

    Vor 5 Tagen

    Frankfurt am Main, Deutschland Quipu Vollzeit

    We are looking for a Compliance Officer to join our team in FRANKFURT. **What we expect from you**: **Experience**: - Experience in compliance, risk or audit, preferably in a technology environment - Experience in working with geographically distributed and remote team members - University degree in Law, Risk Management, Compliance, Computer Science, or a...

  • Chief Compliance Officer

    vor 2 Wochen

    Frankfurt am Main, Deutschland Broadgate Vollzeit

    Chief Compliance Officer Location: Germany Sector: Investment Solutions Overview Lead the compliance function for an investment firm in Germany. Full ownership of regulatory strategy, BaFin interactions, and the firm’s compliance framework. High visibility, direct impact, and Board-level exposure. Key Responsibilities Act as main contact for BaFin and...

  • Compliance Officer

    vor 1 Woche

    Frankfurt am Main, Deutschland Saxton Leigh Vollzeit

    **THE COMPANY**: Our client is an international commercial bank, with assets of over $20 billion. They are looking for a Compliance Officer for their branch in Frankfurt. **THE RESPONSIBILITIES**: - Ensuring compliance with the regulations specified by BaFin - Initiating the development and adaptation of the necessary activities as well as monitoring...

  • Compliance Officer

    vor 1 Woche

    Frankfurt am Main, Hessen, Deutschland Von Poll Vollzeit 40.000 € - 60.000 € pro Jahr

    Compliance Officer (w/m/d)in Frankfurt am Main - WestendIhre AufgabenDu arbeitest in einem Team an forensischen Sonderuntersuchungen zur Aufklärung wirtschaftskrimineller Sachverhalte – mit Fokus auf Betrug, Untreue, Korruption sowie Datenmanipulation und Verstöße gegen das GeschGehG (Gesetz zum Schutz von Geschäftsgeheimnissen).Forensische Auswertung...

  • Compliance Officer

    Vor 3 Tagen

    Frankfurt am Main, Deutschland Deutsche Börse Vollzeit

    **Learn. Develop. Grow. But always: Share value**: Join our international team that drives positive change, united by a spirit of openness and curiosity. We empower you to have an impact and to grow - personally and professionally. With us, you work at the heart of financial systems and evolve the way markets operate. We’re excited about the future because...

  • Senior Compliance Advisory Officer

    Vor 3 Tagen

    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...

  • Frankfurt Compliance Officer

    vor 2 Wochen

    Frankfurt am Main, Deutschland Danos Group Vollzeit

    Support statutory compliance under German law, acting as Deputy Money Laundering Officer in line with AML and CTF regulations - The role includes assisting with client onboarding, responding to regulatory and auditor requests, and serving as a key contact for trading venues - Responsibilities also involve advising management on regulatory matters, conducting...

  • Compliance Officer QHSE

    vor 15 Stunden

    Frankfurt am Main, Hessen, Deutschland NorthC Datacenters Deutschland Vollzeit 50.000 € - 80.000 € pro Jahr

    Wir suchen Dich als Verstärkung in der Rolle des Compliance Officer QHSE ab sofort für unseren Standort in Nürnberg oder Frankfurt am Main.Deine Aufgaben als Compliance Officer (Quality, Health, Safety and Environment) in der DACH RegionBei dir läuft alles zusammen: Egal ob durch dein aktives Networking, Online-Recherchen oder weiteren von dir...

  • Senior Compliance Officer AML

    Vor 3 Tagen

    Frankfurt am Main, Hessen, Deutschland Pictet Group Vollzeit

    Your teamFollowing the successful establishment of its European headquarters in Frankfurt am Main, Pictet & Cie (Europe) AG (BPAG) is seeking to strengthen its European and German compliance team in Frankfurt am Main with a Senior Compliance Officer/AMLRO.BPAG operates across Europe, with branches in Luxembourg, Spain, Monaco, France, Italy and the UK. Its...