Senior Compliance Officer
Core
Ensure operational excellence and regulatory adherence for a trading and investing platform serving millions of clients, specifically aligning with BaFin guidelines.
Role type
Senior Compliance Officer (MiFID-regulated firm)
Builds
Innovative financial services and products used by millions of investors
Domain
Financial Services / Regulatory Compliance (Germany/BaFin)
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
MiFID regulatory framework expertise, product governance, vulnerable customer protection, conflict of interest management, outsourcing compliance, conduct risk management, financial promotions review, policy development, stakeholder management, cross-functional collaboration
Preferred skills
German language proficiency, experience in international environments, digital tool coordination
Technologies
Digital collaboration tools
Responsibilities
Ensure operational excellence in compliance areas aligning with BaFin guidelines; Provide expert compliance advice on products, services, and topics like product governance and conduct risk; Support and drive compliance projects with cross-functional teams; Oversee financial promotions review process; Maintain and update compliance policies and procedures; Collaborate with Legal team to manage regulatory interactions with BaFin
Seniority
Senior, hands-on IC