Compliance & AML Officer (German Branch)

Capital; Frankfurt; Vor Ort; EUR 110.000 - 140.000; Vollzeit

Benefits dieser Stelle

Competitive Salary

Work-Life Harmony

Generous Time Off

Employee Referral Program

Health & Pension Benefits

Workation Wonderland

Volunteer Days

Zusammenfassung

Capital, a leading trading platform, is seeking a Compliance & AML Officer for the German Branch. You will design and oversee regulatory compliance and AML/CTF frameworks, with dual duties under MiFID II/MiFIR and BaFIN.

You will liaise with BaFin and FIUs, implement CDD/EDD, monitor transactions, and report to senior management. Fluency in German and English required; experience with regulators; candidate should promote a strong compliance culture.

Qualifikationen

• Proven experience as Regulatory Compliance Officer and/or AMLCO in Germany.
• Strong knowledge of MiFID II/MiFIR and BaFin regulations.
• Deep knowledge of German AML law (GwG) and EU AML framework.
• Experience dealing with regulators (BaFin) and FIUs.
• Fluency in German and English.

Aufgaben

• Act as designated CO under German regulatory requirements.
• Design and maintain the compliance monitoring programme.
• Monitor adherence to BaFIN and ESMA regulations.
• Review financial promotions, marketing materials, and client communications.
• Maintain the compliance risk register and prepare periodic reports.
• Act as AMLCO and develop AML/CTF policies, procedures, controls.
• Ensure CDD/EDD, transaction monitoring, SAR processes.
• Lead regulatory reporting, audits and inspections.
• Provide regular reporting to senior management and the board.
• Develop and deliver Compliance and AML/CTF training.
• Coordinate with group Compliance, Risk, Legal and Operations.

Kenntnisse

Regulatory compliance

AML/CTF

BaFin

MiFID II/MiFIR

Regulator liaison

German language

English language

Jobbeschreibung

We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talented team.

We are looking for a Compliance & AML Officer who will be accountable for the design, implementation, and ongoing oversight of both the regulatory compliance and AML/CTF frameworks for the German Branch. The role carries dual responsibility: ensuring full adherence to MiFID II/MiFIR and BaFIN conduct and organisational requirements as applied in Germany, and maintaining a robust AML/CTF programme aligned with German AML regulations, EU requirements, and group standards.

Key Responsibilities:

Compliance Framework (MiFID II / MiFIR & BaFIN’s requirements)

• Act as the designated Compliance Officer (CO) under German regulatory requirements and MiFID II organisational obligations.
• Design and maintain the compliance monitoring programme.
• Monitor and ensure adherence to BaFIN and ESMA regulations.
• Review financial promotions, marketing materials, and client communications for compliance with applicable rules.
• Maintain the compliance risk register and prepare periodic compliance monitoring reports for senior management.

AML/CTF Framework

• Act as the appointed Anti-Money Laundering Officer (AMLCO) under German regulatory requirements
• Develop, implement, and maintain AML/CTF policies, procedures, and controls.
• Ensure effective customer due diligence (CDD), enhanced due diligence (EDD), transaction monitoring, and suspicious activity reporting (SAR).
• Oversee AML risk assessments and ensure alignment with the firm’s risk appetite.

Regulatory & Governance

• Serve as the primary point of contact with BaFin and FIU Germany on AML/CTF matters.
• Ensure compliance with German AML Act (GwG), EU AML Directives, and applicable EBA/ESMA guidelines.
• Lead regulatory reporting, audits, and inspections related to compliance and/or financial crime.
• Provide regular reporting to senior management and the board on compliance AML risks and controls.

Advisory & Oversight

• Advise senior management on Compliance and AML/CTF risks, regulatory developments, and control enhancements.
• Ensure effective escalation of Compliance and financial crime risks and incidents.

Training & Culture

• Develop Compliance and deliver AML/CTF training programs across the Germany entity.
• Promote a strong compliance culture and awareness of Compliance and financial crime risks.

Coordination

• Collaborate with group Compliance, Risk, Legal, and Operations to ensure consistent application of regulatory compliance and AML standards.
• Align local AML practices with group frameworks while meeting German-specific requirements.

Key Requirements:

• Proven experience as Regulatory Compliance Officer and/or AMLCO or senior AML function holder in Germany within a regulated financial services firm.
• Strong knowledge of MiFID II/MiFIR and BaFin applicable regulations.
• Deep knowledge of German AML law (GwG), BaFin expectations, and EU AML framework.
• Strong understanding of brokerage/trading or fintech business models.
• Experience dealing directly with regulators (including BaFin) and FIUs.
• Strong analytical, judgment, and stakeholder management skills.
• Fluency in German and English.

What you will get in return:

• Competitive Salary:We believe great work deserves great pay! Your skills and talents will be rewarded with a salary that makes you feel valued and motivated.
• Work-Life Harmony:Join a company that genuinely cares about you - because your life outside of work matters just as much as your time on the clock. #LI-Hybrid
• Generous Time Off:Need a breather? Our annual leave policy lets you recharge and enjoy life outside of work without a worry.
• Employee Referral Program:Love working here? Share the love! Bring your talented friends on board and get rewarded for growing our awesome team.
• Comprehensive Health & Pension Benefits:From medical insurance to pension plans, we’ve got your back. Plus, location-specific benefits and perks!
• Workation Wonderland:Live your digital nomad dreams with 30 extra days to work remotely from anywhere in the world (some restrictions apply). Adventure awaits!
• Volunteer Days:Make a difference! Take two additional paid days each year to support causes you care about and give back to the community.

Be a key player at the forefront of the digital assets movement, propelling your career to new heights!Join a dynamic and rapidly expanding company that values and rewards talent, initiative, and creativity.Work alongside one of the most brilliant teams in the industry.