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Markets Compliance Officer Vice President

vor 2 Stunden

Frankfurt am Main, Hessen, Deutschland State Street Vollzeit

Who we are looking for

State Street Bank International Markets Compliance team seeks a Compliance Officer to support the oversight of and provide advice and guidance related to the suite of products & services provided by the State Street Bank International GmbH Markets , Treasury and Credit Finance divisions.

The Compliance Officer will be responsible for providing oversight over all the compliance risks for Currency Management, Partnered Trading, Securities Finance, Treasury and Credit Finance divisions, as well as the specific underlying business units.
 

In addition the position is part of the broader Global Markets Compliance team.

The role will be performed in hybrid model in Frankfurt or Munich.

Key Duties and Responsibilities:

  • Responsible for delivering the advisory Compliance Program for the business units in scope.

  • Supporting the successful and timely completion of oversight program, including the identification and resolution of risks and issues which impact the compliance program delivery, while building strong relationships with compliance and business colleagues

  • Independently conduct assigned responsibilities within their section of the overall Compliance function and execute a range of complex tasks and analyses to support the business unit and department goals.

  • Providing regulatory advice for the product suite of Markets and the marketing thereof across the EU and into overseas jurisdictions.

  • Reviewing and assessing the impact of new regulations and work collaboratively with the impacted business to implement necessary changes to comply with them. Engage in advocacy and industry discussions.

  • Contributing to the analysis and interpretation of policies and regulations as it aligns with the corresponding business units.  This includes new regulations being implemented that affect the business units.

  • Providing challenge to the business in regard to regulatory adherence; this includes communication of required corrective actions to senior management.

  • Identifying and escalating any potential and/or actual breaches of firm or regulatory requirements, and, if so, assisting in the development and/or implementation of remedial actions required.

  • Responsible for support in drafting and maintaining policies and procedures, as well as corresponding training.

  • Cooperation with the broader Global Markets/Global Treasury and Global Credit Finance Compliance team.

  • Actively participating in the review of new business initiatives, products and services, including Requests for Proposal and marketing materials to ensure regulatory compliance requirements are addressed, as applicable.

  • Preparing business for and assist with regulatory and third party examinations as well as lead direct interactions with regulators
     

Required experience and education:

  • Minimum 10 years' experience in financial services preferably within a compliance or legal function.

  • Bachelor's degree, Masters (preferred), legal studies or experience with Markets businesses (preferred).

  • Good regulatory understanding (especially MaRisk, MaComp, MiFID, MAR requirements and their EU implementation).

  • Strong understanding of policies, procedures and controls.

These skills will help you excel in the role:

  • Excellent interpersonal skills

  • Strong analytical skills, excellent oral and written communication skills.

  • Aptitude to work both independently and collaboratively, manage multiple simultaneous tasks in a high-pressure, deadline-driven environment.

  • Ability to make independent decisions, develop creative solutions to problems and manage implementation through to acceptance.

  • Project management operating successfully in a cross-functional team environment.

About State Street

Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. We keep our clients at the heart of everything we do, and smart, engaged employees are essential to our continued success.

We are committed to fostering an environment where every employee feels valued and empowered to reach their full potential. As an essential partner in our shared success, you'll benefit from inclusive development opportunities, flexible work-life support, paid volunteer days, and vibrant employee networks that keep you connected to what matters most. Join us in shaping the future.

As an Equal Opportunity Employer, we consider all qualified applicants for all positions without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, genetic information, sex, sexual orientation, gender identity or expression, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status, and other characteristics protected by applicable law.

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