A leading Investment Bank are seeking a Head of Compliance for their office in Frankfurt.
This is a Frankfurt based role with oversight across the European Region. The candidate should have solid Investment Banking experience, ideally gained from a major US or European Investment Bank. The candidate must be educated to degree level and have a thorough knowledge of the rules across the various regulators within the European Region, with a primary focus on the German Regulator, the BaFin.
Key duties include:
- Providing training to front office personnel on general regulatory matters such as the code of market conduct, sales practices as well as on other ad hoc regulatory matters
- Maintaining regulatory and exchange relationships, including dealing with exchange queries, investigations and audits as well as formal regulatory enquiries from national regulators such as the BaFin
- Assisting in the response to alleged violations of rules, regulations, policies, procedures, and standards of conduct by evaluating, recommending the initiation of, and/or carrying out investigative procedures
- Building and maintaining strong relationships with the Front Office, Operations etc. and with Compliance colleagues globally