Compliance Analyst (m/w/d)
Core
Monitor the suitability and effectiveness of organizational measures to ensure compliance with regulatory requirements for a securities investment firm.
Role type
Compliance Analyst
Builds
Compliance risk management and monitoring concepts, regulatory reports, and training materials.
Domain
Financial Services / Securities Regulation
Deliverable
dashboards & analysis
Required skills
Securities compliance, regulatory analysis, risk identification, audit execution, documentation, project management, internal training, stakeholder communication, English proficiency
Preferred skills
AML experience
Technologies
MiFID II, MAR, WpHG, WpDVerVO, WpIG, MaComp, MaRisk
Responsibilities
Monitor business activities for regulatory compliance, conduct risk identification and audits, evaluate measure effectiveness, maintain risk management concepts, support reporting, handle regulatory inquiries, lead internal training, collaborate with US parent company, track German/EU regulations