Compliance Manager
Core
Ensure the Branch operates in full compliance with Czech capital markets law, EU regulations, and group-wide frameworks under CNB supervision.
Role type
Compliance Manager
Builds
Regulatory reporting, compliance monitoring programs, and client complaints handling frameworks.
Domain
Financial Services / Capital Markets / Regulatory Compliance
Deliverable
client delivery
Required skills
Knowledge of Czech capital markets law (ZPKT), CNB decrees, MiFID II/MiFIR regulations, regulatory reporting, policy drafting, risk assessment, audit liaison
Preferred skills
Experience in compliance within an investment firm, bank, or capital markets entity, familiarity with MiFID II compliance monitoring
Technologies
None stated
Responsibilities
Perform risk assessments in relation to compliance risks, Draft and implement company policies and procedures, Serve as primary point of contact for CNB supervisory matters, Prepare and submit periodic regulatory reports to the CNB, Own and operate the client complaints handling framework, Conduct and maintain the compliance monitoring programme, Ensure client-facing materials comply with Czech language requirements, Liaise with auditors during compliance audits
Seniority
Mid-level, hands-on IC