Compliance

• Monitor and ensure compliance with capital markets regulations (in particular MiFID II, MAR, WpHG) and internal policies
• Advise business units on implementing and further developing regulatory requirements, policies and processes
• Support the new product process by reviewing new products and services for compliance risks
• Prepare compliance reports and analyses and assist with regulatory inspections
• Conduct and refine risk analyses and derive and implement appropriate control actions and measures
• Serve as a point of contact for internal and external stakeholders, particularly on capital markets compliance issues
• Analyze conflicts of interest and advise on the establishment of information barriers/confidentiality zones
• Support complaints management and contribute to cross-functional projects

Compliance Officer, Capital Markets Compliance

Regulatory Compliance Specialist – Sustainable Development Solutions

Specialist, Regulatory Compliance – Sustainable Development Solutions

Compliance Officer – Kapitalmarktcompliance