Mitarbeiter Regulatory Compliance (m/w/d)
Core
Managing regulatory compliance activities for securities trading (WpHG) and risk management (MaRisk), including monitoring insider trading and market manipulation.
Role type
Regulatory Compliance Officer (Securities Trading)
Domain
Banking / Financial Services / Securities Regulation
Required skills
Securities trading experience, knowledge of WpHG and MaRisk, risk analysis, regulatory reporting, project support
Preferred skills
Experience as investment advisor or in securities department, strong understanding of law and regulation
Technologies
N/A
Responsibilities
Conduct monitoring actions, participate in risk analysis and audit planning, report to management, advise departments on legal requirements, support compliance projects
Seniority
Mid-level, individual contributor