Compliance Officer(WpHG)(m/f/d)

TN Germany; Frankfurt; Vor Ort; EUR 50.000 - 90.000; Vollzeit

Zusammenfassung

Ein innovatives Unternehmen sucht einen Compliance Officer, um die WpHG-Compliance-Funktion zu übernehmen. In dieser spannenden Rolle sind Sie verantwortlich für die Überwachung der Governance und der Richtlinien der Bank sowie die Schulung des Personals. Sie arbeiten in einem dynamischen FinTech-Umfeld, das Ihnen die Möglichkeit bietet, in einem internationalen Team zu wachsen und neue Erfahrungen zu sammeln. Mit einem flexiblen Arbeitszeitmodell und einem umfangreichen Mitarbeiterentwicklungsbudget werden Sie Teil einer unterstützenden und kollegialen Gemeinschaft, die Innovation und persönliche Entwicklung fördert.

Leistungen

Mitarbeiterentwicklungsbudget von 2.000 €

Zugang zu Babbel für kontinuierliches Lernen

Flexible Arbeitszeiten

30 Tage Urlaub plus Heiligabend und Silvester frei

Förderung der betrieblichen Altersvorsorge

Subventionierung des Deutschland Tickets

JobRad Leasing für Fahrräder

Unterstützende Lernumgebung

Qualifikationen

• Abschluss in Betriebswirtschaft oder Rechtswissenschaften erforderlich.
• Kenntnisse der relevanten Gesetze und Vorschriften für die Position.

Aufgaben

• Übernahme der Funktion des WpHG-Compliance Officers der Bank.
• Überwachung der Governance und der Qualität der Anlageberatung.

Kenntnisse

Kommunikationsfähigkeiten

Interpersonelle Fähigkeiten

Kenntnisse der relevanten Gesetze

Analytische Fähigkeiten

Ausbildung

Universitätsabschluss in Betriebswirtschaft

Abschluss in Rechtswissenschaften

Tools

AWS Stack

Splunk

GSUITE

Atlassian Suite (Jira, Confluence, Trello)

Jobbeschreibung

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Compliance Officer (WpHG) (m/f/d), Frankfurt

Location: Frankfurt, Germany

Job Category:

Other

EU work permit required:

Yes

Job Reference:

dcb2e014a7e3

Job Views:

1

Posted:

25.04.2025

Expiry Date:

09.06.2025

Job Description:

Your Responsibilities

• Assumption of the WpHG-Compliance Officer function of the bank
• Exercise oversight and monitoring of the governance, policies, and processes as well as the overall quality of the investment services business of the bank
• Provide advice to the bank including support for staff training, day-to-day assistance for staff, and participating in the establishment of new policies and procedures within the investment services business
• Setup, maintenance, and execution of the risk analysis and the control plan with investment services business
• Interaction with internal and external auditors as well as supervisory authorities (BaFin)
• Ensure that conflicts of interest are prevented or that unavoidable conflicts of interest are adequately safeguarded
• Supervision of training and suitability of personnel within the custody and digital wealth management business of the bank
• Reporting to the management and supervisory board
• Ensure compliance with requirements for the WpHG compliance function according to Art. 22 (2) MiFID-2, BT 1 MaComp, and other relevant laws and regulations

Your Profile

• University degree in Business Administration, law, or another relevant discipline
• Proficiency with the relevant laws/regulations for this position (§§ 3, 4 Nr. 4, 6 WpHGMaAnzV; BT 1.3.1.3 MaComp)
• Strong communication and interpersonal skills to collaborate effectively with internal and external stakeholders
• Knowledge & Experience:
• European and German legal provisions to be complied with by the Bank when providing investment services and ancillary investment services
• Administrative regulations issued by the Federal Financial Supervisory Authority BaFin as well as knowledge of the relevant ESMA guidelines and standards
• All types of investment services and ancillary investment services provided by the Bank and the risks they entail
• The functioning and risks of the types of financial instruments in which the Bank provides investment services or ancillary investment services
• Requirements and design of appropriate processes of investment service providers to prevent and detect violations of regulatory requirements
• Tasks, responsibilities, and powers of the WpHG compliance function and the WpHG compliance officer
• Organizational structure of supervisory authorities, about the identification of conflicts of interest and their causes, different possibilities to design sales organisations, and the organizational setup of securities service providers in general

Join our mission, join our team - and grow with us!

As part of the strong Raisin family, Raisin Bank combines the best of both worlds: The experience and security of a bank with the flexibility and innovation of a Start-up.

Our employees are just as diverse as our partners. If you are looking for a dynamic environment in which you can play to your strengths and develop further, then you have come to the right place! In our agile FinTech environment, you have the opportunity to work in an international team and gain new experience. We provide:

• Employee Development Budget of €2,000 and access to Babbel for continuous learning.
• Exciting cooperation partners and projects in the banking and Start-Up environment.
• A fully cloud-based Banking-as-a-Service Platform.
• Company-wide use of industry-leading tools for analysis, development, communication, and collaboration such as AWS Stack, Splunk, GSUITE, Slack, Atlassian Suite (Jira, Confluence, Trello), and many more.
• Dynamic environment, a hands-on mentality, and agile ways of working.
• Flexible working hours and 30 days holiday plus Christmas Eve and New Year's Eve off.
• Collegiality and a supportive learning environment.
• Promotion of company pension schemes and capital-forming payments (vermögenswirksame Leistungen).
• We subsidize the Deutschland Ticket with €25 per month.
• Love cycling? With JobRad, lease the bike of your choice and enjoy tax savings, plus Raisin covers your monthly insurance costs.
• A diverse team of experts to learn from and to inspire each other.