Head of Compliance

Vor 3 Tagen

Frankfurt am Main, Deutschland Barclay Simpson Vollzeit

**Head of Compliance**:

- Frankfurt-am-Main
- €120 - 160,000
- Job type: Permanent
- Sector: Asset Management & Funds
- Job reference: BCF/38301

Our client is a well-known Global Asset Manager with a long term presence in European markets with their lead MiFID entity based in Germany. They are seeking a new Compliance Officer and MLRO to be based in Frankfurt to have oversight of all Compliance matters relating to the German business as well as two other EU branches.

**Responsibilities**:

- Act as the registered Compliance Officer, MLRO and Outsourcing Officer for the German entity
- Maintain, update and implement compliance polices and procedures on a local level, incorporating the group framework and local regulatory requirements
- Act as the main point of contact with BaFin and other regulatory authorities
- Work with external auditors for all audit requirements
- Work with group level compliance team to assist in the development of regional policy
- Provide proactive groupwide reports on regulatory changes in Germany and the EU and discuss potential impacts on the business
- Work with the marketing and legal teams to ensure the compliance of financial promotions and market material to local regulations

**Experience required**:

- Significant experience of Regulatory Compliance responsibilities gained within German financial institutions
- Working knowledge of Asset Management regulations
- Fluent German language skills are required, additional European language skills preferred

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