Compliance, Regional Compliance, Vice President, Frankfurt Frankfurt · Germany · Vice President

Our division prevents, detects, and mitigates compliance, regulatory, and reputational risk across the firm, helping to strengthen the firm’s culture of compliance. Compliance achieves this through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory, and reputational risks; monitors adherence to laws, rules, and regulations; designs and implements controls, policies, procedures, and training; conducts independent testing; investigates, surveils, and monitors for compliance risks and breaches; and leads responses to regulatory examinations, audits, and inquiries. You will be part of a diverse team with backgrounds in law, accounting, sales, and trading. We seek individuals with sound judgment, curiosity, and adaptability to a changing regulatory environment.

Responsibilities

1. Manage compliance input for regulatory audits, both regular and ad-hoc.
2. Create management reports for the executive and supervisory boards.
3. Draft and maintain policies and procedures related to WpHG compliance requirements.
4. Manage key compliance controls in line with BaFin requirements (notably MaComp, MaRisk).
5. Coordinate audit inputs and controls across branches.
6. Monitor and coordinate the implementation of new regulations.
7. Support the annual risk assessment process.

Experience/Skills

• University degree.
• At least 5 years of compliance experience related to investment services.
• Strong knowledge of the European regulatory environment and BaFin rules, including MiFID II, MAR, and MaComp.
• Knowledge of other local or global regulatory regimes is advantageous.
• Effective interpersonal and communication skills, both written and oral.
• Attention to detail with the ability to multitask, organize, and prioritize.
• Fluency in English and German is required.

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