Regulatory Compliance Officer (m/w/d)

Frankfurt am Main (65929)

Permanent

€80,000 - €90,000 EUR a year

Regulatory

PR/610917_1789991928

Our client is a well-established international investment management firm with a strong reputation for delivering high-quality financial solutions and exceptional client service. With a growing presence across Europe and global operations, the business offers employees the opportunity to build long-term careers within a collaborative and highly regulated environment.

As part of the continued expansion of its German Compliance function, our client is seeking an experienced Regulatory Compliance Officer to support regulatory oversight, risk monitoring, and compliance advisory activities.

Key Responsibilities

Monitor business activities to ensure ongoing compliance with applicable regulatory requirements, internal policies, and governance standards.
Conduct compliance risk assessments, monitoring reviews, and control testing, documenting findings and recommending corrective actions where appropriate.
Evaluate the effectiveness of compliance controls and oversee remediation activities.
Support the maintenance and enhancement of the compliance monitoring programme and risk management framework.
Prepare management reporting, compliance dashboards, and regulatory documentation.
Participate in regulatory projects and assist with supervisory authority enquiries and inspections.
Deliver compliance training and awareness sessions to employees and business stakeholders.
Provide day-to-day compliance advice to management and operational teams.
Collaborate with international compliance and legal colleagues on cross-border regulatory matters.
Monitor regulatory developments and assess the impact of new German and European financial services regulations on the business.

Candidate Profile

University degree in Law, Business Law, Finance, Economics, or a related discipline, or an equivalent professional qualification.
At least 3 years of compliance experience within an investment firm, asset manager, bank, or regulated financial institution.
Strong understanding of financial services regulations, including MiFID II, MAR, WpHG, WpIG, MaComp, MaRisk, and related regulatory requirements.
Knowledge of AML and financial crime regulations would be beneficial.
High level of integrity, professionalism, and sound judgement.
Strong analytical and problem-solving capabilities with excellent attention to detail.
Ability to work independently while managing multiple priorities in a dynamic environment.
Excellent communication and stakeholder management skills.
Fluent German and English language skills.

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