Compliance & Conduct Officer

NatWest Group; Frankfurt; Vor Ort; EUR 60.000 - 80.000; Vollzeit

Zusammenfassung

A leading financial institution in Frankfurt is seeking a Compliance & Conduct Officer to oversee regulatory compliance and conduct risks. The ideal candidate will have extensive experience in the wholesale banking industry, possess strong knowledge of EU and local regulations, and be fluent in both German and English. Responsibilities include advising management on compliance matters, managing interactions with regulatory bodies, and establishing a governance framework to ensure adherence to regulatory standards. This role offers a challenging opportunity within a dynamic team.

Qualifikationen

• Extensive experience in the wholesale banking industry within a compliance function in Germany.
• Ability to interpret regulations to support policy development.
• Experience of interacting with regulators.

Aufgaben

• Act as a trusted advisor on regulatory compliance and conduct risks.
• Support interactions with local regulatory bodies.
• Establish and maintain a local compliance and conduct governance framework.
• Identify and manage regulatory compliance risks.
• Monitor business compliance control effectiveness.
• Establish training and awareness arrangements.

Kenntnisse

Detailed knowledge of EU and local regulations

Excellent interpersonal skills

Fluent in German and English

Jobbeschreibung

Join us as a Compliance & Conduct Officer

• This is an opportunity to take on a critical and high-profile role for our NatWest Markets NV Frankfurt branch
• We’ll look to you to act as a trusted adviser to the business and support management in its understanding and ownership of regulatory compliance and conduct risks
• You’ll provide support, advice, MI and escalation to senior management and the overall business on risk management, recommending necessary actions to the management team for establishing and achieving their commercial and strategic objectives

What you’ll do

You will be working as a member of our European Compliance & Conduct team in a second line of defence capacity primarily providing regulatory compliance and conduct oversight to our business based in Germany.

We'll look to you to support on interactions with relevant local regulatory bodies in relation to respective compliance related matters and to help support the local compliance and conduct governance framework.

Your responsibilities will also include:

• Acting as a trusted advisor to the business and support management in its understanding and ownership of regulatory compliance and conduct risks
• Providing support on interactions with relevant local regulatory bodies in relation to respective compliance related matters
• Establishing and maintaining a local compliance and conduct governance framework, including but not limited to, provision of advice to meet regulatory requirements and addressing regulatory compliance and conduct risks relating to business initiatives, projects and transactions, ensuring issues are managed appropriately
• Identifying potential or actual regulatory compliance and conduct risks, ensuring appropriate escalation, remediation and mitigation to manage risks back within appetite. Also, ensuring appropriate management reporting and escalation of matters, as required
• Assisting with monitoring and testing of the business, systems and controls and providing oversight of the business compliance control effectiveness as required. This includes regular monitoring / assurance tasks to ensure compliance with relevant rules and regulations
• Establishing and maintain adequate local arrangements for training and awareness

The skills you’ll need

To be successful in this role, you’ll need detailed knowledge of EU and local regulations, legislation and codes of practice relevant to appropriate licenses held. You’ll also have the ability to interpret these to support policy and procedure development. We’ll look to you to have experience of interacting with regulators, along with excellent interpersonal skills, and good verbal and written communication skills.

You’ll need extensive experience and a track record in the wholesale banking industry within a compliance function in Germany, as well as excellent knowledge and understanding of the German and European regulatory requirements with regards to regulatory compliance and conduct.

In addition, you’ll need:

• Extensive knowledge of investment banking and/ or financial markets services gained from operating within a compliance function
• The ability to source and assess multiple data and information points to help make risk-based decisions and solutions
• Experience of report writing at all levels, including executive and board, and the ability to verbally deliver and discuss the content
• We expect you to be fluent in German and English