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Compliance Officer – Financial Institutions
Options GroupCompliance Officer managing internal compliance framework in a fast-growing regulated capital markets environment. Collaborating with management to translate regulatory requirements into effective solutions.
About the role
Key responsibilities & impact- Design, implement and continuously enhance the company's internal compliance framework
- Ensure adherence to applicable legal, regulatory and internal requirements (including WpIG, WpDVerOV, MaComp, MAR, GwG)
- Develop and maintain a risk-based compliance program aligned with the business model
- Prepare and present the annual compliance report to management
- Design, deliver and document internal compliance training initiatives
- Option to expand the framework to include anti-money laundering and data protection
- Serve as a point of contact for management, employees, supervisory authorities and external stakeholders
Requirements
What you’ll need- Strong expertise in the WpIG framework and the associated German regulatory requirements
- Professional experience in capital markets (e.g., Sales & Trading, Corporate Finance, Equity Research)
- Proven ability to implement regulations pragmatically in a commercial environment
- Highly structured, analytical thinker with a solution-oriented approach
- Confident communicator with strong stakeholder-management skills
- High integrity, discretion and independence of judgment
- Hands-on personality with initiative, precision and assertiveness
- Uncompromising attitude towards conflicts of interest and regulatory standards
Benefits
Comp & perks- Competitive salary
- Hybrid work model with high flexibility
- Innovative, technology-driven environment with significant creative freedom
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
compliance framework designrisk-based compliance programinternal compliance traininganti-money launderingdata protectionWpIG frameworkregulatory requirementscapital marketsSales & TradingCorporate Finance
Soft Skills
analytical thinkersolution-orientedconfident communicatorstakeholder managementhigh integritydiscretionindependence of judgmentinitiativeprecisionassertiveness