Compliance & AML Officer (German Branch)
Core
Design, implement, and oversee regulatory compliance and AML/CTF frameworks for a newly established German Branch of a trading platform.
Role type
Senior Compliance & AML Officer (Financial Services)
Builds
Regulatory compliance and AML/CTF programs for a German trading entity
Domain
Financial Services / Trading / Regulatory Compliance
Deliverable
client delivery
Required skills
German regulatory compliance expertise, AML/CTF program management, customer due diligence, transaction monitoring, regulatory reporting, risk assessment, stakeholder management
Preferred skills
Experience with brokerage/trading business models, direct regulator interaction
Technologies
N/A
Responsibilities
Act as designated Compliance Officer (CO) and Anti-Money Laundering Officer (AMLCO), design and maintain compliance monitoring programs, ensure adherence to MiFID II/MiFIR and BaFIN regulations, develop and maintain AML/CTF policies and controls, conduct customer due diligence and suspicious activity reporting, serve as primary contact with BaFin and FIU Germany, lead regulatory reporting and audits, advise senior management on compliance risks, deliver compliance training programs, coordinate with group Compliance, Risk, Legal, and Operations
Seniority
Senior, hands-on IC