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Are you passionate about navigating complex regulatory landscapes and driving excellence in compliance within the financial services industry? Join a leading organization in the heart of the financial sector as a Compliance Officer m/f/d for Derivatives & FX. This role offers the opportunity to shape and enhance compliance frameworks, collaborate with industry experts, and make a tangible impact in a fast-paced, dynamic environment.
Aufgaben
- Assist in the development, implementation, and maintenance of high-quality compliance programs, policies, and procedures for the Derivatives & FX business.
- Provide expert guidance on regulatory requirements, operational issues, and internal compliance policies, including transactional support.
- Manage regulatory inquiries and examinations, coordinating with regulators and other stakeholders as necessary.
- Collaborate with internal teams to address compliance issues impacting Derivatives & FX operations.
- Conduct timely compliance reviews for new products and services.
- Develop and deliver compliance training, including creating relevant training materials.
- Research regulatory reforms and implement necessary policies, procedures, or controls to ensure compliance.
- Assess and mitigate risks associated with business decisions, safeguarding the firm's reputation and adhering to legal and regulatory standards.
- Serve as a trusted advisor on compliance matters, leveraging specialized regulatory knowledge to support business functions in the EMEA region.
- Manage compliance reporting processes within the organization and across regional and global offices.
- Develop, update, and maintain compliance policies in line with local and EU regulatory requirements.
- Monitor information barriers, insider trading prevention measures, and review potential conduct breaches, ensuring timely reporting and resolution.
- Stay informed about German and EU regulatory developments, recommending and implementing necessary actions.
- Participate in ad hoc compliance projects and contribute as a subject matter expert for Derivatives & FX compliance.
- Support the Head of Private Side Advisory in identifying and escalating regulatory risks and ensuring timely reporting to regulators.
- Represent the organization in industry working groups, providing expert insights and feedback.
Qualifikation
- Proven experience in the financial services industry, preferably in securities houses, broker-dealers, or wholesale banking.
- Strong knowledge of German/EU regulatory frameworks and financial markets.
- In-depth understanding of FX and Derivatives products, with relevant experience in 1LOD or 1.5LOD roles being advantageous.
- Working knowledge of derivative master agreements and confirmations.
- Exceptional analytical skills, attention to detail, and sound judgment in decision-making.
- Ability to work independently and collaboratively within a team.
- Strong relationship-building skills, with the ability to advise stakeholders on compliance with regulatory and internal requirements.
- Excellent verbal and written communication skills in German and English
- A Master’s degree (or equivalent) in Finance, Law, or a related field, complemented by relevant professional experience.
Benefits
- Competitive Salary: A market-competitive salary based on experience and qualifications.
- Bonus: Performance-based annual bonus.
- Health and Wellness: Comprehensive health insurance plans and wellness programs.
- Retirement: Attractive pension plan with employer contributions.
- Professional Development: Opportunities for career growth, training, and development.
- Work-Life Balance: Flexible working hours and the option to work remotely.
- Paid Time Off: Generous vacation policy, plus additional holidays.
- Employee Assistance Program: Access to confidential counseling and support services.
- Diverse and Inclusive Workplace: Commitment to fostering an inclusive work environment with a strong focus on diversity and inclusion.
This is a unique opportunity to work at the forefront of regulatory compliance in a globally respected institution, developing your expertise and contributing to the success of a leading financial services provider.
Jobs at Hirschman Associates
Helpful information
- Read what is m/f/d in the job title