Head of Legal and Compliance

Key Responsibilities: 

• Act as Head of Compliance at a international investment firm including staff management for Compliance.
• Manage and represent the Compliance, AML, CTF and Anti-Fraud as well as MaRisk Compliance functions and liaise with senior management, Front Office as well as support and control functions of the Business.
   

Compliance / AML & CTF Function:

• Oversight of the Compliance Monitoring Programme.
• Conducting AML, CTF and Anti-Fraud Risk Analysis in his role as MLRO.
• Conducting Compliance (WpHG) Risk Analysis in his role as Compliance Officer.
• Provide Annual Compliance Officer Report to Management as defined in BT 1.2.2 MaComp.
• Provide Annual MaRisk Compliance Officer Report to Management as defined in AT 4.4.2 MaRisk.
• Provide annual AML, CTF and Anti-Fraud Report to Management incl. Report on 2LoD controls.

Compulsory requirements: 

• Native German speaker. 
• Experienced within the Capital Markets space. 
• Experienced with Anti Money Laundering.