International Investmentbank

Markets Compliance Officer m/f/d

Salary Negotiable
Contract Permanent
Sector Investmentbanking
Location Frankfurt, Germany
Start date 01/10/2024


Our client, an international bank is a forward-thinking company, committed to providing innovative financial solutions. As a leading player in the financial industry, they prioritize integrity, transparency, and ethical business practices. They are currently seeking a skilled and experienced Markets Compliance Officer on Assistant Vice President Level to join their team and contribute to their mission of ensuring a secure and compliant banking environment.

The successful candidate will play a crucial role in ensuring adherence to regulatory requirements and fostering a culture of compliance within our Markets division.

Your tasks

  1. Regulatory Compliance Oversight:
    • Monitor and interpret relevant regulatory changes, specifically related to the Wertpapierhandelsgesetz (WpHG) in Germany.
    • Implement and maintain a robust compliance framework to ensure adherence to WpHG requirements.
    • Collaborate with internal stakeholders to assess the impact of regulatory changes and implement necessary adjustments.
  2. Risk Assessment and Mitigation:
    • Conduct regular risk assessments within the Markets division, identifying potential compliance risks and developing strategies to mitigate them.
    • Work closely with business units to implement and enhance controls to address identified compliance risks.
  3. Policy Development and Implementation:
    • Develop and update compliance policies and procedures in alignment with WpHG and other relevant regulations.
    • Ensure effective communication and training programs to promote awareness of compliance policies among staff.
  4. Monitoring and Reporting:
    • Establish and maintain a monitoring and reporting system to track compliance metrics and report to senior management and relevant committees.
    • Investigate and resolve any instances of non-compliance, working closely with internal audit and legal teams.
  5. Collaboration and Communication:
    • Foster a culture of compliance by providing guidance and support to the Markets division.
    • Collaborate with internal and external stakeholders, including regulatory bodies, to address inquiries and maintain positive relationships.

Your profile

  • Bachelor's or Master's degree in Law, Finance, Business, or a related field.
  • Several years of experience in compliance within financial services, with a focus on Markets compliance.
  • Investment Banking and/ or Corporate Banking Experience
  • In-depth knowledge of German financial regulations, particularly WpHG.
  • Strong analytical skills and the ability to interpret complex regulatory requirements.
  • Excellent communication and interpersonal skills.
  • Proven experience in policy development, risk assessment, and compliance monitoring.

Your benefits

  • Competitive salary commensurate with experience.
  • Comprehensive health, dental, and vision insurance plans.
  • Retirement savings plans with employer contributions.
  • Professional development opportunities and ongoing training.
  • Work-life balance initiatives, including flexible work arrangements.
  • Collaborative and inclusive work environment.

Our client is an equal opportunity employer committed to diversity and inclusion. We encourage applications from candidates of all backgrounds.

Apply now
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Markets Compliance Officer m/f/d

Salary Negotiable
Contract Permanent
Sector Investmentbanking
Start date 01/10/2024