Job Opportunity: Compliance Officer (m/f/d)

Location: Frankfurt

Salary: Competitive and commensurate with experience

Keywords: Collaborative, dependable, supportive leadership, inclusive culture, flexible working, training opportunities, knowledgeable team

A prominent global financial services organisation in Frankfurt is seeking a skilled Compliance Officer (m/f/d) to join their dedicated compliance team. This role offers an exciting opportunity to contribute to a strong risk and control framework while ensuring compliance with German and European regulations. You will play a key role in regulatory engagement, providing expert advice across various business areas such as Front Office, Operations, and IT. The position offers exposure to diverse compliance activities, including anti-money laundering (AML), market surveillance, and conduct risk management. With a supportive leadership team and a collaborative work environment, this role provides an excellent platform for professional growth.

Your Role as Compliance Officer (m/f/d)

As a Compliance Officer (m/f/d) based in Frankfurt, you will thrive in a dynamic environment where your responsibilities will include:

• Providing expert advice on global regulations affecting the business and ensuring all departments are well-informed about compliance requirements.
• Conducting monitoring reviews to assess adherence to internal policies and external regulations, identifying areas for improvement.
• Supporting the implementation and maintenance of the compliance surveillance programme, focusing on AML and counter-terrorist financing (CTF) activities under German law.
• Acting as a key contact for regulatory enquiries from authorities, trading venues, auditors, and other third parties.
• Preparing detailed management information for working groups and representing the compliance function within these forums.
• Assisting with client onboarding processes for brokerage services and multilateral trading facilities (MTFs).
• Promoting a culture of good conduct by organising training sessions and updating induction materials for new employees.
• Conducting periodic compliance risk assessments to enhance risk management practices across business units.
• Managing ad hoc projects assigned by senior leaders while adapting to diverse regulatory obligations.
• Escalating technology-related market issues and addressing additional regulatory reporting requirements when necessary.

What You Bring

To thrive in this role, you will need to demonstrate a strong combination of technical expertise, regulatory knowledge, and interpersonal skills. Specifically, you should bring:

• Comprehensive Knowledge of Regulations: A deep understanding of European financial regulations for agency brokers, as well as German-specific rules such as WpIG, WpHG, MaComp, and MaRisk.
• Experience with Trading Platforms: Proven experience working with EU equity exchanges or trading platforms, particularly in advising on system monitoring and algorithmic trading strategies.
• Analytical Expertise: Strong analytical skills with the ability to interpret complex transactional data while maintaining exceptional attention to detail.
• Regulatory Documentation Skills: Experience drafting regulatory requirements for systems development and participating in User Acceptance Testing (UAT) processes.
• Time Management Excellence: The ability to effectively prioritise tasks and manage deadlines in a fast-paced environment.
• Outstanding Communication Skills: Exceptional interpersonal and communication abilities to collaborate with stakeholders at all levels across the organisation.
• Proactive Problem-Solving: A proactive approach to teamwork, combined with the capability to independently deliver practical solutions when required.
• Technical Proficiency: Advanced proficiency in MS Office tools (Word, Excel, PowerPoint) and Tableau Desktop for data analysis and reporting purposes.
• Language Fluency: Business-level fluency in both German and English is essential. Occasional travel between branch offices and London may be required.

Additionally, the ideal candidate will have specific expertise related to trading systems and algorithms used in the trading of ordinary shares and other cash equity-related products, as well as a solid understanding of how trading venues operate under European regulations.

In this role, you will be responsible for advising GmbH on local monitoring and testing of systems and algorithms, ensuring compliance with legal obligations related to trading strategies deployed through these systems. You will also oversee the operation of multilateral trading facilities (MTFs), ensuring adherence to regulatory standards.

The successful candidate will possess the authority and confidence to challenge staff responsible for algorithmic trading when necessary-particularly in cases where such trading may lead to disorderly market conditions or raise suspicions of market abuse. You should also demonstrate the ability to proactively follow up on information generated by automated alerts, ensuring swift action is taken when required.

This role requires a balance of technical acumen, regulatory insight, and strong leadership qualities to ensure compliance excellence within a dynamic financial environment.