Regulatory Compliance Officer (m/w/d)

Larson Maddox; Frankfurt; Vor Ort; EUR 70.000 - 110.000; Vollzeit

Zusammenfassung

Larson Maddox is assisting an international investment management firm in Frankfurt, Germany, in expanding its German Compliance function. The Regulatory Compliance Officer will support regulatory oversight, risk monitoring and advisory activities within a highly regulated environment.

The role requires a university degree in law or related fields, at least 3 years in compliance within an investment firm or bank, fluent German and English, and strong analytical and stakeholder-management skills.

Qualifikationen

• University degree in Law, Business Law, Finance, Economics, or a related discipline.

Aufgaben

• Monitor regulatory compliance with MiFID II, MAR, WpHG, WpIG, MaComp, MaRisk and internal policies.
• Conduct compliance risk assessments, monitoring reviews and control testing.
• Oversee remediation activities and evaluate effectiveness of controls.
• Prepare management reporting, dashboards and regulatory documents.
• Deliver compliance training and guidance to management and staff.
• Collaborate with international compliance and legal teams on cross-border matters.

Kenntnisse

German (Fluent)

English (Fluent)

Ausbildung

Law degree or related

Jobbeschreibung

Our client is a well-established international investment management firm with a strong reputation for delivering high-quality financial solutions and exceptional client service. With a growing presence across Europe and global operations, the business offers employees the opportunity to build long-term careers within a collaborative and highly regulated environment.

As part of the continued expansion of its German Compliance function, our client is seeking an experienced Regulatory Compliance Officer to support regulatory oversight, risk monitoring, and compliance advisory activities.

Key Responsibilities

• Monitor business activities to ensure ongoing compliance with applicable regulatory requirements, internal policies, and governance standards.
• Conduct compliance risk assessments, monitoring reviews, and control testing, documenting findings and recommending corrective actions where appropriate.
• Evaluate the effectiveness of compliance controls and oversee remediation activities.
• Support the maintenance and enhancement of the compliance monitoring programme and risk management framework.
• Prepare management reporting, compliance dashboards, and regulatory documentation.
• Participate in regulatory projects and assist with supervisory authority enquiries and inspections.
• Deliver compliance training and awareness sessions to employees and business stakeholders.
• Provide day-to-day compliance advice to management and operational teams.
• Collaborate with international compliance and legal colleagues on cross-border regulatory matters.
• Monitor regulatory developments and assess the impact of new German and European financial services regulations on the business.

Candidate Profile

• University degree in Law, Business Law, Finance, Economics, or a related discipline, or an equivalent professional qualification.
• At least 3 years of compliance experience within an investment firm, asset manager, bank, or regulated financial institution.
• Strong understanding of financial services regulations, including MiFID II, MAR, WpHG, WpIG, MaComp, MaRisk, and related regulatory requirements.
• Knowledge of AML and financial crime regulations would be beneficial.
• High level of integrity, professionalism, and sound judgement.
• Strong analytical and problem-solving capabilities with excellent attention to detail.
• Ability to work independently while managing multiple priorities in a dynamic environment.
• Excellent communication and stakeholder management skills.
• Fluent German and English language skills.