Head of Legal (Germany)

Record seeks a Head of Legal in Germany, Hamburg

About Record Financial Group plc and Record Asset Management Gmbh

Record Financial Group (Record) is a leading specialist currency and asset manager with $100.9billion (as of 30 March 2025) in Assets Under Management Equivalent. Record’s services include asset management, and currency management, and sustainable finance. Our clients are largely institutions, including pension funds, charities, foundations, endowments, and family offices.The firm was established in 1983.

Today Record is committed to diversifying its range of investment strategies.Four years ago Record Asset Management GmbH (RAM) was established which delivers best in class private market solutions including infrastructure, credit and other private markets funds as well as absolute return strategies. This business is now on a significant growth path winning assets from major global asset owners.

Record’s offices are in London, Frankfurt and Hamburg, Zurich, New York.

Position: Head of Legal (Germany)

Location: Hamburg

Role: Full time (37.5 hours per week). Hybrid

Line Manager: CEO Record Asset Management Gmbh

Key responsibilities

• Be the RAM GmbH subject matter expert on all relevant German regulatory and supervisory law (Ba Fin) and corporate law. Manage in a timely fashion the appropriate responses on all legal documents and questions arising.
• Be the subject matter expert on all relevant aspects of multi-jurisdictional regulation relevant to our investment programmes and funds, this relates to EU regulation, MiFID, AIFMD/Private Funds and German finance and investment law and any other related jurisdiction. Manage in a timely fashion the appropriate responses on all legal documents and matters arising.
• Participating in the implementation of templates and processes and policies related to investment, corporate, supervisory and regulatory documentation including Group policies and procedures for Record Financial Group Plc.
• Responsible for all matters relating to the non-financial aspects of external and internal audit, working with the Record Finance Team.
• Work with the Record Finance Team on relevant documentation related to IFR.
• In this context work with our appointed auditors and complete relevant schedules for approval.
• Responsible for all matters relating to regulatory, tax notifications to German regulator and supervisory bodies. Ensure that the calendar of monthly and quarterly responses is filed in a timely and correct fashion.
• Responsible for the relevant German regulation on AML and relevant KYC and due diligence process with regards to BaFin.
• Fulfil the responsibilities of the deputy compliance officer for RAM.
• Provide regular reporting to the RAM GmbH board and to the Head of Compliance in London .
  

Person Specification – Head of Legal Germany for RAM GmbH

• At least 5 – 8 years of relevant legal experience, ideally in an international environment, ideally already working in house in a bank or an asset management house
• Ideally educated to Degree level and qualified as a lawyer in Germany, with German law degree (Successfully completed law studies with first and second state examinations), with relevant experience in financial/asset management and/or related transactions or regulation, with a law firm or international financial institution
• Detailed understanding of regulations within alternative investments within private markets in Germany
• Skilled in negotiating with internal and external stakeholders in a timely fashion
• Working in a timely and swift fashion to resolve legal issues with regards to regulatory matters
• Able to work at a detailed level in a stand- alone role, working with colleagues in Frankfurt and in other RAM offices in London.
• Knowledge of anti-money-laundering, in particular aspects of KYC/KYB pursuant to the German Anti Money Laundering Act (Geldwäschegesetz – GwG) and the German Tax Code (Abgabenordnung – AO).
• A practical working knowledge of EU regulations in particular MiFID and at German regulatory level (BaFin).
• Advising on legal aspects of the relationships with the external supervisory authority (BaFin).
• Clear and precise communicator with an ability to work with colleagues and counterparties and establish longer term professional dialogue.
• Able to challenge colleagues and counterparties diplomatically and reach a resolution and excellent communication skills to achieve this.
• Proficiency in German and English, both written and spoken at professional level (C1).

Key benefits of working for Record Asset Management RAM Gmbh

• Competitive remuneration package.
• Working in a growing start up within the framework of a well-regarded business which has a 4-decade track record.
• Shaping a growing investment business with like-minded colleagues who are hardworking and entrepreneurial.

Record is proud to be an Equal Opportunities Employer. For our employees to reach their full potential they need to feel valued, included and respected. This is the culture that Record works towards and, as part of this, we celebrate individual differences and aim to promote a sense of belonging.

DisabilityConfident

As a Disability Confident employer, we have an inclusive recruitment process and will hire anyone from any background. Where there are barriers to applying, we are committed to discussing options with you to make the process more accessible and provide reasonable adjustments.