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Compliance Officer m/w/d
- 20 juin
- Germany
- CDD
At the moment, the Compliance team is facing extra work pressure due to:
1. Several projects within CBG
2. Several (upcoming) audits
For that reason, we will reorganize ourselves.
The job is at this stage a temporary job until 31.03.2026.
By joining our Compliance team, you will be responsible for all business compliance tasks, mainly related to MIFID II law.
Your main missions will be:
Performing controls related to MIFID II, described in our Group Compliance Control Plan
Compare the local processes with the Group Policies and come up with proposals to improve
Analyse processes and determine if all compliance risks are in control
To have a good understanding regarding overdrafts and support the business to have sufficient controls in place
Assist with Audits (WpHG audit, Verwahrstellen audit)
Deliver the compliance opinion for new products and services
Performing employee related controls: gifts & benefits, personal transactions, additional external professional activities
Support the FS team with client onboardings and client reviews (second line KYC)
Experience in at least 2 of the next topics:
Law advice
Compliance
Securities business
Master of Law (preferably Banking Law, European/International Law, Business Law), Master of Finance with a focus on Compliance
1. Several projects within CBG
2. Several (upcoming) audits
For that reason, we will reorganize ourselves.
The job is at this stage a temporary job until 31.03.2026.
By joining our Compliance team, you will be responsible for all business compliance tasks, mainly related to MIFID II law.
Your main missions will be:
Performing controls related to MIFID II, described in our Group Compliance Control Plan
Compare the local processes with the Group Policies and come up with proposals to improve
Analyse processes and determine if all compliance risks are in control
To have a good understanding regarding overdrafts and support the business to have sufficient controls in place
Assist with Audits (WpHG audit, Verwahrstellen audit)
Deliver the compliance opinion for new products and services
Performing employee related controls: gifts & benefits, personal transactions, additional external professional activities
Support the FS team with client onboardings and client reviews (second line KYC)
Experience in at least 2 of the next topics:
Law advice
Compliance
Securities business
Master of Law (preferably Banking Law, European/International Law, Business Law), Master of Finance with a focus on Compliance
