Compliance Officer - Gold Group Ltd : Job Details

Compliance Officer, Dusseldorf

Salary between €70-€80,000

As a Compliance Officer the key tasks include the support of management in the compliance function (strategic, operational and functional consulting), the development of strategies and measures to prevent money laundering, counter- terrorist financing and other criminal offences, and to ensure compliance with the German Securities Trading Act.

Our client who are a global financial services firm are keen to engage and discuss this role with Compliance specialists from the banking, financial serivces sector.

Candidates will need to be fluent in both German and English.

Responsibilities:

• Prepare, develop and maintain a risk analysis according to MaRisk (i.e. legal inventory
• and risk assessment) and develop measures to ensure MSPA's compliance with identified applicable laws and regulations.
• Set up and execute control measures according to the above mentioned risk analysis.
• Support and advise Management Board with regard to complying with legal rules and regulations and amendments thereof.
• Implement processes to identify changes in the legal environment relevant to the firm in the various jurisdictions and ensure the implementation of any required measures to ensure compliance with new legislation or regulation.
• Develop and implement internal Compliance policies and training documents.
• Develop and implement appropriate measures and monitoring actions to prevent money laundering, counter-terrorist financing and other criminal offences.
• Develop a control action plan and execute control activities of processes and measures.
• Create necessary notifications to BaFin and investigative authorities.
• Develop a training concept, perform staff training relating to the prevention of money-laundering, terrorist financing and other criminal offences for all staff.
• Provide strategic and tactical consulting to Management Board and other business areas in compliance-related matters to fulfil local compliance requirements and standards.
• Develop and implement internal Compliance policies.
• Prepare reports for Management Board and Supervisory Board for the above functions.
• Work closely with the local MLROs in the foreign branches to provide an effective compliance oversight of the international activities of the firm, while retaining overall responsibility.
• Responsible for steering, monitoring and control of external service providers, if applicable for any of the above functions (for example to provide support at the foreign locations).
• Liaise pro-actively and effectively with the group compliance function to harmonize processes, realize synergies and improve effectiveness of the compliance function.

Skills:

• Fluent in both German and English
• Degree in finance or law and/or a comparable training
• Previous relevant experience in Banking, Finance and/or Compliance (candidates with relevant experience will also be considered from insurance firms, rating agencies or audit firms).
• Good knowledge of legal systems / documentation and compliance standards required

Services advertised by Gold Group are those of an Agency and/or an Employment Business.We will contact you within the next 14 days if you are selected for interview. For a copy of our privacy policy please visit our website.