Compliance Manager (m/w/d)
Core
Monitoring securities and capital market compliance, including trade surveillance (MAR), product governance, and protection of customer funds.
Role type
Compliance Manager (Securities & Capital Markets)
Builds
Internal compliance processes and regulatory adherence for a digital investment platform.
Domain
Financial Services / Regulated Markets
Deliverable
client delivery
Required skills
Securities compliance, trade surveillance, product governance, regulatory project management, stakeholder collaboration, process optimization, training delivery, German law interpretation, financial analysis
Preferred skills
Automation of compliance workflows, AI/LLM tool evaluation, experience with MiFID II and WpHG
Technologies
AI-based tools, LLMs, modern compliance systems
Responsibilities
Monitor daily business operations and internal audits, collaborate with Product/Trading/Operations to ensure regulatory adherence, liaise with external auditors and regulators, implement new regulatory requirements (MiFID II, WpHG), conduct employee training, drive digitalization of compliance processes
Seniority
Mid-Senior, hands-on IC
