Our client is a rapidly growing, technology-driven financial institution that combines innovative digital solutions with the regulatory standards of a fully licensed banking environment.
Key Responsibilities
- Ensure compliance with applicable regulatory requirements governing investment services, including WpHG, MiFID II, MAR, PRIIPs, and other relevant regulations.
- Support the ongoing development and enhancement of the Compliance Management System for securities-related activities.
- Perform monitoring and control activities across key regulatory areas.
- Draft, review, and maintain internal policies, procedures, and governance frameworks.
- Advise business and product teams on securities compliance matters and regulatory implications of new initiatives.
- Participate in product governance and approval processes, providing regulatory and compliance expertise.
- Conduct Compliance Risk Assessments and investigate potential regulatory breaches, including market abuse and insider dealing concerns.
- Prepare regulatory reports and notifications, including STOR submissions where required.
- Deliver regular compliance reporting to senior management and governance committees.
- Act as a key contact for regulatory inspections, audits, and reviews.
Candidate Profile
- Degree in Law, Finance, Economics, Business Administration, or a related discipline.
- Professional compliance qualifications or securities-related certifications are advantageous.
- Strong knowledge of WpHG, MiFID II, MAR, MaComp, and related regulatory frameworks.
- Several years of experience in Compliance, Legal, Internal Audit, Risk, or a related control function within financial services.
- Experience designing, operating, or enhancing compliance monitoring and control frameworks.
- Strong analytical capabilities and a structured, detail-oriented approach to complex regulatory matters.
- Excellent communication skills and the ability to engage effectively with senior stakeholders and regulatory authorities.
- Comfortable working in a fast-paced, evolving business environment where technology and innovation are key drivers of growth.
- Fluent German and strong English language skills.
WpHG Compliance Officer (m/w/d) - Larson Maddox in Sulzbach Arbeitgeber: Larson Maddox
Unser Kunde ist eine etablierte Bank, die ein dynamisches und unterstützendes Arbeitsumfeld bietet, in dem Teamarbeit und kontinuierliche Weiterbildung gefördert werden. Als AML Operations Analyst haben Sie die Möglichkeit, an vorderster Front gegen Finanzkriminalität zu kämpfen und dabei mit verschiedenen internen Abteilungen sowie externen Behörden zusammenzuarbeiten. Die Position bietet nicht nur attraktive Vergütungspakete, sondern auch hervorragende Entwicklungsmöglichkeiten in einem sich ständig weiterentwickelnden Sektor.
