Senior Compliance Officer - Sales & Trading (m/w/d)

Bruin; Frankfurt; On-site; EUR 90,000 - 130,000; Full time

Job summary

Qualifications

• 5+ years of experience in Compliance within financial services.
• Strong knowledge of German and European regulation incl. WpHG, MiFID II and MAR.
• Legal background preferred with qualified lawyers or equivalent regulatory experience.
• Experience advising stakeholders and translating regulations into business solutions.
• Understanding of capital markets, trading or securities services.
• Fluent German and English language skills.
• Excellent communication and stakeholder management skills.

Responsibilities

• Advise business teams on compliance with German and EU financial services regulations, including WpHG, MiFID II and MAR.
• Provide legal and regulatory guidance on new business initiatives and regulatory developments.
• Draft, review and maintain compliance policies, procedures and control frameworks.
• Conduct compliance monitoring activities and support regulatory inspections and audits.
• Participate in compliance risk assessments and mitigate regulatory and operational risks.
• Deliver regulatory training and practical guidance to front office, operations and support functions.
• Support reporting to senior management on compliance, regulatory and conduct matters.

Skills

Regulatory knowledge

German & English

Communication

Stakeholder management

Education

Law degree

Job description

• Advise business teams on compliance with German and EU financial services regulations, including WpHG, MiFID II and MAR.
• Provide legal and regulatory guidance on new business initiatives, products and regulatory developments.
• Draft, review and maintain compliance policies, procedures and control frameworks.
• Conduct compliance monitoring activities and support regulatory inspections and audits.
• Participate in compliance risk assessments, identifying and mitigating regulatory and operational risks.
• Deliver regulatory training and practical guidance to front office, operations and support functions.
• Support reporting to senior management on compliance, regulatory and conduct matters.

Requirements

• 5+ years of experience within Compliance, Legal & Compliance, Regulatory Advisory, or a related control function within a financial institution.
• Strong knowledge of German and European financial services regulation, including WpHG, MiFID II and MAR.
• Legal background preferred, including qualified lawyers, Wirtschaftsjuristen, or candidates with a degree in law and relevant regulatory/compliance experience.
• Experience advising stakeholders on regulatory requirements and translating regulations into practical business solutions.
• Understanding of capital markets, trading, investment banking, securities services, or related financial markets activities.
• Fluent German and English language skills.
• Excellent communication, analytical and stakeholder management skills.