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Regulatory Compliance Specialist - Complaints (m/f/d) - PR/607710_1787835329

Regulatory Compliance Specialist - Complaints (m/f/d)

Frankfurt
Permanent
Compliance
PR/607710_1787835329
Regulatory Compliance Specialist - Complaints (m/f/d)

About the Role

Our client is a well-established banking organisation seeking a Regulatory Specialist to support and enhance its complaint management framework within a highly regulated environment. This role combines regulatory expertise, compliance oversight, and operational process improvement to ensure customer complaints are handled effectively and in line with applicable regulatory standards.
Working within a second-line control function, you will collaborate closely with Compliance, Risk, Legal, Operations, and business stakeholders to maintain a robust complaints governance framework. The position offers broad exposure across the organisation and the opportunity to influence customer outcomes, regulatory compliance, and risk management practices.
A key focus of the role will be strengthening end-to-end complaint management, ensuring compliance with regulatory requirements including MaRisk, identifying process and control enhancements, supporting audits and regulatory projects, and providing management with meaningful reporting and analysis.

Responsibilities

  • Oversee and monitor complaint handling activities across business functions to ensure consistent, fair, and compliant outcomes.
  • Analyse complaint trends, root causes, and recurring issues, recommending remediation measures and process improvements.
  • Drive the continuous enhancement of the end-to-end complaint management framework.
  • Ensure complaints processes, controls, and documentation are audit-ready and aligned with regulatory requirements, including MaRisk expectations.
  • Review complex complaint cases from a regulatory, compliance, and legal perspective.
  • Prepare management information, dashboards, and reporting on complaint volumes, themes, risks, and key performance indicators.
  • Support the Compliance function in regulatory monitoring activities and control assessments.
  • Participate in internal audits, regulatory reviews, and remediation programmes.
  • Assess new and evolving regulatory requirements and determine their impact on complaint management processes.
  • Identify compliance and conduct risks and implement appropriate mitigating controls.
  • Deliver guidance and regulatory training to business stakeholders on complaint handling obligations and governance requirements.
  • Support workflow optimisation initiatives, including false positive reduction and broader operational efficiency improvements.

About You

  • Degree in Business, Economics, Finance, Law, or a related discipline.
  • Several years of experience within Compliance, Regulatory Affairs, Risk Management, Outsourcing Management, Governance, or a comparable control function within banking.
  • Strong understanding of German and European banking regulations, including MaRisk and broader BaFin requirements.
  • Experience interpreting and applying regulatory requirements within operational processes and control frameworks.
  • Previous exposure to complaint management, customer remediation, or customer outcomes processes is highly desirable.
  • Experience supporting audits, regulatory reviews, and compliance monitoring activities.
  • Knowledge of compliance risk assessment methodologies and governance frameworks.
  • Strong analytical capabilities with the ability to investigate complex cases and identify root causes.
  • Experience preparing management reporting and presenting findings to senior stakeholders.
  • Ability to work independently while managing relationships across multiple business functions.
  • Strong written and verbal communication skills in both German and English.
  • Comfortable operating in a highly regulated environment with significant stakeholder engagement.

Who This Role Would Suit

This opportunity would particularly suit professionals currently working within Compliance, Regulatory Affairs, Operational Risk, Conduct Risk, Governance, Customer Remediation, Complaint Management, Outsourcing Oversight, or related banking control functions who are seeking broader ownership, increased exposure to MaRisk and BaFin requirements, and the opportunity to shape complaints governance within a regulated financial services environment.

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