Compliance Manager (m/w/d)

Selby Jennings; Frankfurt; Vor Ort; EUR 90.000 - 120.000; Vollzeit

Zusammenfassung

A leading global financial services firm in Frankfurt is seeking a Senior Compliance Lead to oversee its European compliance function, focusing on the expansion into crypto and investment products. The ideal candidate will have over 5 years of compliance experience, significant regulatory expertise, and strong decision-making skills. This high-impact role includes developing compliance policies, ensuring adherence to EU regulations, and serving as the main liaison with regulators.

Qualifikationen

• Minimum 5 years of compliance experience in a Capital Markets Services environment.
• Strong working knowledge of MiCAR, MaRisk/MaComp, and other EU regulations.
• Proven ability to write clear and effective compliance policies.

Aufgaben

• Lead the development of compliance policies and procedures.
• Ensure adherence to relevant EU regulatory frameworks for investment firms.
• Monitor regulatory developments and lead implementation of compliance projects.

Kenntnisse

Compliance experience

Regulatory expertise

Decision-making skills

Stakeholder management

Analytical skills

Jobbeschreibung

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A leading global financial services firm is seeking a Senior Compliance Lead to head its European compliance function as it expands into the crypto and investment products space. This is a high-impact leadership role, ideal for a seasoned compliance professional with deep regulatory expertise and a strategic mindset.

Key Responsibilities

A leading global financial services firm is seeking a Senior Compliance Lead to head its European compliance function as it expands into the crypto and investment products space. This is a high-impact leadership role, ideal for a seasoned compliance professional with deep regulatory expertise and a strategic mindset.

Key Responsibilities

• Lead the development and ongoing enhancement of compliance policies and procedures.
• Ensure adherence to MiCAR, MaRisk/MaComp, and other relevant EU regulatory frameworks for investment firms.
• Drive process improvements and conduct deep dives to align with evolving regulatory expectations and commercial initiatives.
• Act as project lead for compliance in the rollout of new crypto and investment services across the EU.
• Establish and maintain oversight of outsourcing arrangements.
• Review and submit suspicious transaction reports to relevant authorities.
• Monitor regulatory developments and lead implementation of compliance-related projects.
• Support internal and external audits.
• Conduct compliance risk assessments and monitoring activities.
• Prepare board-level reporting and management information (MI).
• Serve as the primary liaison with European regulators.
• Oversee client complaint procedures and related reporting.
• Report regularly on AML and compliance matters to the Head of Risk & Compliance, and to the Board/Group as needed.
• Collaborate with business units to provide compliance guidance on strategic initiatives.
  
  

Key Qualifications

• Minimum 5 years of compliance experience in a Capital Markets Services License environment, ideally with exposure to retail investor products.
• Strong working knowledge of MiCAR, MaRisk/MaComp, and other EU financial regulations.
• Expertise in securities, collective investment schemes, OTC derivatives, and crypto assets.
• Proven ability to write clear, effective policies and translate regulatory requirements into business processes.
• Commercially minded with a proactive, self-driven approach.
• Strong decision-making skills and ability to work independently.
• Excellent communication and stakeholder management capabilities.
• Highly analytical with a problem-solving mindset.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance

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