Description

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.