Head of Compliance - Investment Banking

  • Location:

    Frankfurt am Main, Hessen

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Salary:

    €100000 - €125000 per annum

  • Contact:

    Lauren Ashwood

  • Job ref:

    140420_1586885715

  • Published:

    about 1 month ago

  • Expiry date:

    2020-05-14

  • Start date:

    ASAP

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
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