Compliance Officer (M/W/D)

Chartered Investment Co; Düsseldorf; Hybrid; EUR 90.000 - 130.000; Vollzeit

Benefits dieser Stelle

Capital-forming benefits

Restaurant vouchers

Zusammenfassung

Chartered Investment Co in Germany seeks a Compliance Officer to lead and evolve the compliance program from Düsseldorf. You will create policies, controls, and documentation, and translate regulatory requirements into actionable measures for MiFID II, AIFMD/UCITS, BaFin/ESMA, and AML landscapes.

You will advise senior management, coordinate inspections, and deliver practical trainings while partnering with Legal, Risk, Operations, IT, and external consultants.

Qualifikationen

• Extensive compliance experience, preferably in financial services, bank, asset manager.
• Strong knowledge of German and European financial markets, securities, and investment law.
• Proven ability to establish and implement compliance structures and processes.
• Experience with MiFID II, AIFMD/UCITS, BaFin/ESMA and AML requirements.
• Hands-on, decisive, and able to drive issues to completion.
• Excellent communication and stakeholder coordination skills.
• Degree in law or economics.
• Very good German and English language skills.

Aufgaben

• Develop and implement the compliance management system, including policies and controls.
• Analyze new regulatory requirements and translate them into measures and processes.
• Advise senior management on compliance and regulatory issues.
• Coordinate inspections, audits, and regulator inquiries with follow-up actions.
• Design and conduct practical compliance trainings.
• Collaborate with Legal, Risk, Operations, IT, and external consultants.
• Identify risk areas and drive action to robust implementation.

Kenntnisse

Compliance experience

German law knowledge

Compliance structures

MiFID II

AIFMD/UCITS

BaFin/ESMA guidelines

AML compliance

Hands-on approach

Communication skills

German & English

Ausbildung

Law or economics degree

Jobbeschreibung

Compliance Officer (M/W/D)
Legal | Germany

• Responsible for the ongoing development and operational implementation of our compliance management system, including policies, controls, documentation, and follow-up
• Independently analyzing new regulatory requirements and translating them into specific measures, processes, and responsibilities
• Advising senior management and business units on compliance, securities, fund, and regulatory issues
• Coordinating and supporting inspections, audits, and inquiries from regulatory authorities, as well as consistently following up on agreed-upon measures
• Designing and conducting practical training sessions and awareness-raising initiatives
• Working closely with Legal, Risk, Operations, IT, and other internal departments, as well as with external consultants and auditors
• Proactively identifying areas requiring action and independently driving these issues forward until they are robustly implemented

YOUR PROFILE

• Extensive, relevant professional experience in a compliance role, ideally at a financial services institution, a bank, an asset management company, or in a similarly regulated environment
• Very good knowledge of German and European financial market, securities, and investment law, particularly the compliance requirements relevant to financial services institutions and asset management companies
• Proven experience in establishing, developing, and implementing compliance structures and processes
• Proficiency in handling regulatory requirements, particularly those related to MiFID II (WpHG), AIFMD/UCITS (KAGB), BaFin/ESMA guidelines, and anti-money laundering
• Strong hands-on approach: You structure complex issues, make pragmatic decisions, and consistently see projects through to completion
• Confident demeanor, clear communication, and the ability to bring together diverse stakeholders to find viable solutions
• High standards of quality, reliability, and a strong sense of responsibility
• Degreein law or economics, or a comparable qualification
• Very good command of German and English

OUR OFFER

• Scope for Creativity: A key role with a visible impact on structures, processes, and the company’s future development
• Direct Collaboration: Short decision-making paths and close communication with senior management and functional departments
• International Environment: A global network through our integration into the Chartered Group, with business operations in Luxembourg, Switzerland, and Singapore
• On-site collaboration: collaborativework environment at our Düsseldorf location with direct communication and streamlined coordination
• Attractive benefits: An attractive compensation package including capital-forming benefits and restaurant vouchers
• Teamwork & health: Health programs, company parties, and global events