HR Regulatory Reporting Officer (Assistant Vice President) in Frankfurt am Main

A leading global investment bank with a strong international presence across the Americas, Europe, and Asia. The firm provides clients with capital markets and financial advisory services, institutional brokerage and securities research, asset management, and a comprehensive range of investment banking solutions, including underwriting, mergers and acquisitions, restructuring, recapitalization, and other advisory services.

Role Profile

The HR Regulatory Reporting Officer will be a central HR control function role based in Frankfurt, primarily supporting remuneration governance and regulatory requirements across the European entity, while also contributing to UK regulatory initiatives and supporting the HR Regulatory Manager in London.

Core Responsibilities and Coverage

1. Remuneration Governance & Regulatory Oversight

• Oversee the design, monitoring, and ongoing appropriateness of remuneration frameworks (excluding Management Board).
• Ensure compliance with InstitutsVergV, CRR (Art. 450), and broader EU/UK regulatory requirements.
• Produce the Annual Remuneration Control Report and support regulatory disclosures, including benchmarking and high earners reporting.

2. Remuneration Process Oversight

• Support variable pay frameworks and MRT identification.
• Validate MRT remuneration structures, including deferrals, pay mix, and malus/clawback considerations.
• Perform controls and governance reviews.

3. Regulatory HR Operations

• Produce SMF and Certified Person Responsibilities & Responsibilities (R&Rs).
• Manage the end-to-end regulatory aspects of onboarding Certified Persons and Senior Management Functions.
• Produce and respond to regulatory reference requests.
• Support annual Fit & Proper attestations, recertifications, and rescreening processes.
• Support MRT exclusions and ongoing regulatory assessments.
• Maintain HR data integrity (Oracle HR) and conduct reconciliations.

4. Governance & Reporting

• Prepare and contribute to Management Board, Supervisory Board, Compensation & Remuneration Committee, and Operating Committee packs.
• Track KRIs, controls, and audit requirements, ensuring strong documentation and audit trails.
• Lead improvements to HR regulatory processes, workflows, and controls.
• Review inbound audit requests and resolve day-to-day findings.

Key Stakeholders

• Supervisory Board & Remuneration Committee (RemCo)
• Senior Management
• HR Business Partners (Frankfurt and broader EMEA)
• HR Regulatory Manager (London)
• Compliance, Legal, Risk, and Internal Audit
• External auditors and regulatory authorities (e.g., BaFin, ECB, FCA)

Key Projects / Focus Areas

• Strengthening remuneration governance frameworks.
• Supporting MRT identification and exclusions.
• Delivering regulatory reporting, including high earners reporting and benchmarking exercises.
• Enhancing data integrity, controls, regulatory processes, policy documentation, and KRI tracking.
• Aligning EU and UK regulatory processes.

Technical Regulatory Knowledge

Hands-on experience with:

• BaFin-regulated investment firms
• WpI-VergV (German Investment Firm Remuneration Regulation)
• IFD / IFR framework
• EBA Guidelines on Sound Remuneration Policies
• German governance requirements for management boards and control functions

Remuneration & MRT Expertise

• Running annual MRT identification exercises
• Interpreting quantitative and qualitative MRT criteria
• Drafting MRT notifications and governance papers
• Challenging business rationales for removals and additions
• Managing deferral, instrument awards, malus, and clawback requirements
• Supporting remuneration committee and management board decisions

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