Senior Compliance Advisory Officer

vor 7 Stunden

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 Europe team, as well as the Equities business including Research and Sales in the Londo 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 procedure
- 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

You will also get involved with some of the other compliance tasks such as monitoring trades and financial crime.

Your profile:

- Significant professional experience in an Investment Banking Compliance role, or comparable position
- Experience of European securities regulation including MiFID II, MAR
- Sound knowledge of European regulation, procedures and processes to be applied
- Broad, analytical and strategic thinking
- Interest in process improvement to drive business performance
- Hands-on attitude, with a flexible approach

You must be willing to travel when needed (especially when you first start) to see your team and stakeholders, be in an office based role, and get involved with the wider compliance function.

  • Senior Manager

    vor 1 Woche

    Frankfurt am Main, Deutschland Interpath Advisory Vollzeit

    Senior Manager (m/w/d), Debt Advisory Interpath Frankfurt Interpath is an international and fast-growing advisory business with deep expertise in a broad range of specialisms spanning deals, advisory and restructuring. We deliver tangible results for global businesses, their investors, and stakeholders when complex problems arise, and critical decisions need...

  • Senior Manager

    Vor 7 Tagen

    Frankfurt, Deutschland Interpath Advisory Vollzeit

    Senior Manager (m/w/d), Debt Advisory Interpath Frankfurt Interpath is an international and fast-growing advisory business with deep expertise in a broad range of specialisms spanning deals, advisory and restructuring. We deliver tangible results for global businesses, their investors, and stakeholders when complex problems arise, and critical decisions need...

  • Senior Manager

    Vor 4 Tagen

    Frankfurt, Deutschland Interpath Advisory Vollzeit

    Senior Manager (m/w/d), Debt Advisory Interpath Frankfurt Interpath is an international and fast-growing advisory business with deep expertise in a broad range of specialisms spanning deals, advisory and restructuring. We deliver tangible results for global businesses, their investors, and stakeholders when complex problems arise, and critical decisions need...

  • Senior Compliance Officer – Global Markets Advisory

    vor 2 Wochen

    Frankfurt, Deutschland Société Générale Assurances Vollzeit

    Senior Compliance Officer – Global Markets Advisory (m/f/d) Compliance Permanent contract Frankfurt am Main, Hessen, Germany Hybrid Reference 25000ISD Start date 2025/11/01 Publication date 2025/10/06 Responsibilities Société Générale Frankfurt Branch is active in wholesale banking. As part of the local Compliance team you are the lead and main point...

  • Senior Consultant Sales Sustainability Advisory

    vor 14 Stunden

    Frankfurt am Main, Hessen, Deutschland Westbridge Advisory Vollzeit

    Westbridge GruppeImmobilien sind für fast 40% der weltweiten CO2-Emissionen verantwortlich. Was nach einer der größten Herausforderungen klingt, ist gleichermaßen eine Riesenchance. Denn damit haben wir auch die Möglichkeit, den CO2-Abdruck massiv zu reduzieren – nachhaltig und wirtschaftlich. Und genau da setzen wir an.Wir sind ein führendes...

  • Senior Compliance Officer AML

    vor 8 Stunden

    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...

  • Senior Compliance Officer

    vor 2 Wochen

    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,...

  • : Financial Crime Compliance Advisory Associate

    vor 2 Wochen

    Frankfurt am Main, Deutschland Santander Vollzeit

    : Financial Crime Compliance Advisory Associate Country: Germany WHY YOU SHOULD CONSIDER THIS OPPORTUNITY Do you want to join us? Santander Corporate & Investment Banking (Santander CIB) is Santander's global division that supports some of the world's most complex and sophisticated corporate and institutional clients, offering customized services and...

  • Compliance Vice President

    Vor 4 Tagen

    Frankfurt am Main, Deutschland Moody's Vollzeit

    At Moody's, we unite the brightest minds to turn today’s risks into tomorrow’s opportunities. We do this by striving to create an inclusive environment where everyone feels welcome to be who they are—with the freedom to exchange ideas, think innovatively, and listen to each other and customers in meaningful ways. **Skills and Competencies** - 9+ years...

  • Sales Manager Sustainability Advisory

    vor 5 Stunden

    Frankfurt am Main, Hessen, Deutschland Westbridge Advisory Vollzeit 60.000 € - 80.000 € pro Jahr

    Westbridge GruppeImmobilien sind für fast 40% der weltweiten CO2-Emissionen verantwortlich. Was nach einer der größten Herausforderungen klingt, ist gleichermaßen eine Riesenchance. Denn damit haben wir auch die Möglichkeit, den CO2-Abdruck massiv zu reduzieren – nachhaltig und wirtschaftlich. Und genau da setzen wir an.Wir sind ein führendes...