Regulatory Compliance Advisor

Quintet Private Bank; München; Vor Ort; EUR 60.000 - 80.000; Vollzeit

Zusammenfassung

A leading private bank in Germany seeks a Regulatory Compliance Adviser to support compliance strategies and interact with regulators. The ideal candidate has a strong understanding of UK and EU regulatory environments, excellent communication skills, and proficiency in German and English. Responsibilities include drafting policies and providing regulatory expertise. Competitive salary and professional development opportunities are offered.

Qualifikationen

• Good knowledge of UK and EU regulatory environments.
• Experience in assisting German regulators.
• Proficient in German and English.

Aufgaben

• Support the Head of Compliance in delivering compliance advice.
• Draft and review compliance policies.
• Identify and analyze regulatory changes.
• Assist in interactions with German regulators.
• Develop compliance training initiatives.

Kenntnisse

Good knowledge of UK and EU regulatory environments

Excellent communication skills

Strong work ethic

Ability to interpret rules

Experience in policy development

Jobbeschreibung

Purpose of the Job

Quintet Private Bank is a leading private bank in the wealth management sector. We are committed to our clients and their families and pride ourselves on our personalised service based on a deep understanding of what clients want to achieve.

The principal duty of the Regulatory Compliance Adviser within the Merck Finck Compliance team is supporting the Head of Compliance in delivering high-quality compliance advice across all functions in areas such as:

• Regulatory culture
• Investor protection
• Market abuse
• Anti-bribery and corruption
• Sustainable finance
• Cross-border regulations

The role reports hierarchically to the Head of Compliance and works closely with the Group Head of Regulatory Compliance and Cross Border, collaborating with other EU and UK RCC advisers to ensure the successful delivery of the compliance strategy.

The remit covers core areas related to private banking, financial intermediaries, markets, and asset servicing, including:

• Deposit-taking and payment services
• Credit and lending
• Insurance
• Investment management
• Cross-border regulated activities
• Regulated advice and wealth planning

Key Accountabilities

• Regulatory culture: Act in accordance with Quintet’s Code of Conduct and promote a positive compliance culture.
• Policies and procedures: Draft and review policies to align with UK and EU regulatory expectations and industry best practices.
• Supporting the business: Provide regulatory expertise to support policy and procedural development.
• Regulatory change: Identify new initiatives from regulators and analyze their impact.
• Interactions with regulators: Assist in interactions with German regulators and support senior leadership with EU regulator engagements.
• Governance: Contribute to technical analyses and risk reports for supervisory bodies.
• Training: Develop and deliver compliance training initiatives.
• Other duties: Perform additional responsibilities as delegated by senior leadership.

Knowledge and Experience

• Good knowledge of UK and EU regulatory environments in RCC topics.
• Ability to interpret rules and communicate requirements effectively.
• Experience in policy development on regulatory requirements.
• Relevant experience in assisting German regulators, Tier 1 private banks, legal, or professional services firms.
• Business process knowledge.
• Excellent communication, IT skills, and comprehension skills.

Attributes and Qualities

• Strong work ethic and ability to meet deadlines.
• Cooperative and positive team player.
• Professionalism, discretion, and strong values.
• Effective engagement and stakeholder management skills.
• Excellent record-keeping and work management skills.

Technical Skills

• Subject matter expertise in regulatory compliance topics such as Conduct of Business, Investor Protection, Market Abuse, and Sustainability.

Languages Skills

• Proficient in German and English.
• Intermediate knowledge of other Quintet languages, especially French, preferred.

Required Experience: Unclear seniority level.

Key Skills: Ab Initio, Apprentice, Dermatology, Cost Estimation, Data Networking, Liaison.

Employment Type: Advisor

Experience: Years

Vacancy: 1