Compliance Officer
Core
Support the Chief Compliance Officer in enhancing compliance and Anti-Money Laundering frameworks, preparing regulatory reports, and providing advice on M&A and private capital transactions.
Role type
Compliance Officer (M&A and Private Capital)
Builds
Compliance frameworks, risk assessments, monitoring plans, and control measures for M&A and private capital advisory.
Domain
Financial Services / Mergers & Acquisitions / Private Capital / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Anti-Money Laundering (AML) expertise, regulatory risk assessment, policy design and implementation, regulatory inquiry handling, staff compliance training, conflict of interest management, information barrier management, marketing material review
Preferred skills
Knowledge of MiFID II, WpHG, WpIG, MaComp, GwG, BaFin, and ESMA requirements
Technologies
None stated
Responsibilities
Support the Chief Compliance Officer in enhancing compliance and AML frameworks; Prepare and execute compliance reports, risk assessments, monitoring plans, and KYC frameworks; Provide proactive advice to front office staff on client onboarding and M&A/private capital transactions; Partner with Legal, Risk, Operations, Technology, and Finance to promote a compliance culture; Participate in ad hoc projects as a subject matter expert; Conduct staff compliance training; Review marketing materials; Assist in regulatory inquiries, audits, and examinations
Seniority
Mid-level (3-5 years experience)