Senior Compliance Officer in Frankfurt am Main

Grow with us!

Universal Investment is on its way to becoming the leading European fund service platform and Super Man Co.

Since 1968, we have been offering innovative fund solutions for fund initiators and institutional investors and are active in the fund launch locations in Luxembourg, Ireland and Germany.

From here and our locations in London, Krakow, Paris, Stockholm and Singapore, we are also driving our development internationally.

We are currently looking for an executive Compliance Officer to join UI BVK Kapitalverwaltungsgesellschaft mb H as Compliance Officer.

In this highly visible leadership role, you will work closely with the Managing Directors of UI BVK and play a key role in further strengthening the company’s governance and regulatory framework.

The role offers broad exposure to executive decision-making, regulatory engagement and key governance matters within UI BVK.

Your key tasks and responsibilities

• Develop and further strengthen the Compliance and Governance Framework of UI BVK, including the Compliance Management System, compliance risk assessments and monitoring programs.
• Provide independent advice and act as a trusted advisor to the Managing Directors on regulatory, legal and governance matters.
• Support the Managing Directors in strategic decision-making by providing risk-based regulatory and governance expertise.
• Oversee compliance monitoring activities across the organization and promote a strong culture of integrity and compliance.
• Oversee KYC, business partner due diligence, sanctions screening, conflict of interest management, and compliance reviews.
• Monitor regulatory and legal developments and assess their implications for UI BVK.
• Support the preparation of Supervisory Board and governance committee meetings on regulatory and compliance-related topics.
• Liaise with supervisory authorities and coordinate regulatory inquiries and inspections.
• Lead regulatory and governance-related initiatives and compliance transformation projects.

Your skills and experience

• High level of integrity, reliability, and professional judgment.
• Extensive experience and deep expertise in Compliance Management within a KVG (Kapitalverwaltungsgesellschaft), Asset Management or Banking environment.
• Strong understanding of governance, corporate management and regulatory requirements applicable to regulated financial institutions.
• Collaborative leadership style with the ability to build consensus and drive outcomes across functions and stakeholders.
• Demonstrated leadership potential and the ability to assume broader executive responsibilities over time.
• Excellent communication and stakeholder-management skills.
• Ability to build trusted relationships with management, business functions, group-wide compliance teams, and external service providers.
• Strategic mindset combined with a pragmatic and solution-oriented approach to managing complex regulatory and business challenges.
• Strong organizational, prioritization and decision-making skills in a dynamic and evolving regulatory environment.
• Executive presence and confidence in interacting with Managing Directors, Supervisory Board members, auditors and regulators.
• Self-motivated, with a strong track record of driving initiatives and continuous improvement.
• Fluent in German and English

This is what you can expect from us

• An exciting working environment and challenging tasks
• In-depth insight into the European fund industry
• Collegial, international and goal-oriented working environment
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