Trouvez votre emploi idéal
Espace Recruteurs

Regulatory Compliance Officer (m/w/d)

Larson Maddox Sulzbach, Allemagne
Mise en ligne il y a 8 jours Flexible CDI EUR80000 - EUR90000 per annum

Regulatory Compliance Officer (m/w/d)

Larson Maddox Sulzbach, Allemagne

Our client is a well-established international investment management firm with a strong reputation for delivering high-quality financial solutions and exceptional client service. With a growing presence across Europe and global operations, the business offers employees the opportunity to build long-term careers within a collaborative and highly regulated environment.
As part of the continued expansion of its German Compliance function, our client is seeking an experienced Regulatory Compliance Officer to support regulatory oversight, risk monitoring, and compliance advisory activities.


Key Responsibilities

  • Monitor business activities to ensure ongoing compliance with applicable regulatory requirements, internal policies, and governance standards.
  • Conduct compliance risk assessments, monitoring reviews, and control testing, documenting findings and recommending corrective actions where appropriate.
  • Evaluate the effectiveness of compliance controls and oversee remediation activities.
  • Support the maintenance and enhancement of the compliance monitoring programme and risk management framework.
  • Prepare management reporting, compliance dashboards, and regulatory documentation.
  • Participate in regulatory projects and assist with supervisory authority enquiries and inspections.
  • Deliver compliance training and awareness sessions to employees and business stakeholders.
  • Provide day-to-day compliance advice to management and operational teams.
  • Collaborate with international compliance and legal colleagues on cross-border regulatory matters.
  • Monitor regulatory developments and assess the impact of new German and European financial services regulations on the business.


Candidate Profile

  • University degree in Law, Business Law, Finance, Economics, or a related discipline, or an equivalent professional qualification.
  • At least 3 years of compliance experience within an investment firm, asset manager, bank, or regulated financial institution.
  • Strong understanding of financial services regulations, including MiFID II, MAR, WpHG, WpIG, MaComp, MaRisk, and related regulatory requirements.
  • Knowledge of AML and financial crime regulations would be beneficial.
  • High level of integrity, professionalism, and sound judgement.
  • Strong analytical and problem-solving capabilities with excellent attention to detail.
  • Ability to work independently while managing multiple priorities in a dynamic environment.
  • Excellent communication and stakeholder management skills.
  • Fluent German and English language skills.

job_description_image
Référence  PR/610917
À PROPOS DE CETTE ENTREPRISE
New York, United States
Juridique / Compliance
At Larson Maddox, we give essential guidance to leading firms by connecting them with the best In-House Counsel talent for their Regulatory & Legal ne...
Plus d'offres de Larson Maddox
Larson Maddox
Legal & Compliance Officer - Banking (m/w/d)
Larson Maddox
St. Moritz, Switzerland
il y a 7 jours Plein-temps Negotiable
Larson Maddox
Regulatory Compliance, AML & KYC Consultancy (m/w/d)
Larson Maddox
Mühlhausen, Germany
il y a 1 jour Plein-temps Negotiable
Larson Maddox
Compliance Officer - Private Banking (m/f/d)
Larson Maddox
Zurich, Switzerland
il y a 15 jours Plein-temps Negotiable
Larson Maddox
Senior Compliance Officer - Banking (m/w/d)
Larson Maddox
Düsseldorf, Germany
il y a 6 jours Plein-temps Negotiable
Larson Maddox
Global Export Controls and Sanctions Manager (m/f/d)
Larson Maddox
Frankfurt am Main, Germany
il y a 1 heure Plein-temps Negotiable
Larson Maddox
Head of Equities Compliance
Larson Maddox
Hong Kong
il y a 8 jours Plein-temps Negotiable
Larson Maddox
Head of Equities Sales, China Market
Larson Maddox
Hong Kong
il y a 1 jour Plein-temps Negotiable
Larson Maddox
Legal and Compliance - Asset Management
Larson Maddox
Hong Kong
il y a 8 jours Plein-temps Negotiable
Larson Maddox
IBD Compliance Associate - Chinese Investment Bank
Larson Maddox
Hong Kong
il y a 9 jours Plein-temps Negotiable
Larson Maddox
Director of Compliance EMEA (m/f/d)
Larson Maddox
Mitte, Germany
il y a 14 jours Plein-temps Negotiable

Donnez un nouvel élan à votre carrière

Trouvez des milliers d'opportunités emploi en vous inscrivant sur eFinancialCareers dès aujourd'hui.
Plus d'offres d'emploi
Regulatory Affairs Officer - Vice President (m/w/d)
Sumitomo Mitsui Financial Group, Inc.
Frankfurt am Main, Germany
Rothschild & Co
Compliance/Risk Officer (m/w/d) - Schwerpunkt Risk Management
Rothschild & Co
Frankfurt am Main, Germany
Deutsche Börse
Regulatory Reporting Officer (f/m/d)
Deutsche Börse
Frankfurt am Main, Germany