Sachbearbeiter Wertpapier-Compliance (m/w/d)
Hybrid
Core
Execute monitoring actions for securities compliance officers, including suitability declarations and audio recordings, and initiate measures to address deficiencies.
Role type
securities compliance specialist
Builds
compliance monitoring and risk assessment processes
Domain
Financial services / Securities regulation
Required skills
suitability declarations, audio recording verification, risk assessment, client communication, regulatory compliance (WpDVerOV)
Preferred skills
analytical insight, problem-solving, quality awareness, client-oriented thinking, team-oriented working, independence
Technologies
none stated
Responsibilities
Lead monitoring actions for securities compliance officers, Support risk collection and assessment for clients, Act as a contact person for clients
Seniority
Mid-level, experienced professional
