Central Compliance Officer

LevelUP HCS; Frankfurt; Vor Ort; EUR 90.000 - 130.000; Vollzeit

Zusammenfassung

LevelUP HCS is seeking a Central Compliance Officer to join our international team in Frankfurt. You will be part of the second line of defense, developing and maintaining a robust Compliance framework aligned with risk appetite, regulatory expectations, and governance standards.

Key responsibilities include advising business and control functions on Compliance risks, reviewing policies, supporting audits and regulatory inspections, and preparing management information for committees.

Qualifikationen

• Minimum of 5 years’ Compliance experience in German investment banking or a comparable regulated financial services environment.
• Strong knowledge of German and EU regulatory framework: MaRisk/WpI MaRisk and BaFin guidance.
• Experience in Compliance governance, framework implementation, lifecycle management and risk assessments.
• Experience coordinating audits and handling audit evidence, findings and remediation.
• Strong analytical skills to interpret complex regulatory requirements.
• Excellent communication with internal and external stakeholders, auditors and regulators.
• German and English language skills (minimum C1 or equivalent).

Aufgaben

• Support development and maintenance of a robust Compliance framework aligned with risk appetite and regulatory standards.
• Provide advice and challenge to business and control functions on Compliance risks and governance requirements.
• Review and maintain Compliance policies and control documentation to stay compliant with laws and regulations.
• Support the Compliance lifecycle including risk identification, monitoring, tests, remediation and reporting.
• Prepare and coordinate internal and external audits, regulatory inspections and remediation actions.
• Assist in management information and reporting for relevant committees and the Management Board.
• Coordinate annual Compliance Risk Assessments and engage with internal stakeholders.
• Support interactions with BaFin, Bundesbank and other regulators.

Kenntnisse

Compliance governance

Regulatory expertise

Audit coordination

Risk assessment

Analytical skills

Stakeholder management

German-English fluency

Jobbeschreibung

As Central Compliance Officer, you will play a key role within the second line of defense and be part of an international team of compliance professionals.

Key responsibilities

• Support the development, enhancement and ongoing maintenance of a robust Compliance framework aligned with the organization’s risk appetite, regulatory expectations and internal governance standards.
• Provide advice and constructive challenge to the business, senior management and control functions on Compliance risks, governance requirements and the effectiveness of related controls.
• Review and maintain Compliance policies, procedures and control documentation to ensure they remain compliant with applicable laws and regulations.
• Support the Compliance lifecycle, including risk identification, assessment, monitoring, controls testing, issue management, remediation tracking and reporting.
• Prepare and coordinate internal and external audits, regulatory inspections and related follow-up actions, including the preparation of responses and remediation plans.
• Assist in the preparation of management information and reporting for relevant committees and the Management Board.
• Assist in the coordination of the annual Compliance Risk Assessment, including engagement with internal stakeholders.
• Support the interactions with BaFin, Bundesbank and other relevant regulators.

What do we expect from you?

• Minimum of 5 years’ Compliance experience, ideally within German investment banking or a comparable regulated financial services environment.
• Strong practical knowledge of the German and EU regulatory framework applicable to financial institutions, particularly MaRisk/WpI MaRisk and relevant BaFin guidance and expectations, with the ability to interpret regulatory requirements and translate them into practical policies, controls, monitoring activities and advice.
• Experience in Compliance governance, Compliance framework implementation, Compliance lifecycle management and Compliance risk assessments.
• Experience in dealing with internal and external auditors, including coordination of audits (year-end audit and WpHG audit), preparation of audit evidence, management of audit requests, responding to findings and remediation tracking.
• Strong analytical skills, with the ability to assess complex regulatory requirements and governance structures.
• Excellent communication with internal and external stakeholders and influencing skills, with the ability to engage effectively with business, senior management, auditors, regulators and other control functions.
• Sound judgement, personal integrity and professionalism, with the confidence to make, elevate and defend risk-based decisions in line with regulatory expectations and effective risk management standards.
• German and English language skills (minimum C1 or equivalent in both).