Compliance Manager (m/w/d)
A leading global financial services firm is seeking a Senior Compliance Lead to head its European compliance function as it expands into the crypto and investment products space. This is a high-impact leadership role, ideal for a seasoned compliance professional with deep regulatory expertise and a strategic mindset.
Key Responsibilities
- Lead the development and ongoing enhancement of compliance policies and procedures.
- Ensure adherence to MiCAR, MaRisk/MaComp, and other relevant EU regulatory frameworks for investment firms.
- Drive process improvements and conduct deep dives to align with evolving regulatory expectations and commercial initiatives.
- Act as project lead for compliance in the rollout of new crypto and investment services across the EU.
- Establish and maintain oversight of outsourcing arrangements.
- Review and submit suspicious transaction reports to relevant authorities.
- Monitor regulatory developments and lead implementation of compliance-related projects.
- Support internal and external audits.
- Conduct compliance risk assessments and monitoring activities.
- Prepare board-level reporting and management information (MI).
- Serve as the primary liaison with European regulators.
- Oversee client complaint procedures and related reporting.
- Report regularly on AML and compliance matters to the Head of Risk & Compliance, and to the Board/Group as needed.
- Collaborate with business units to provide compliance guidance on strategic initiatives.
Key Qualifications
- Minimum 5 years of compliance experience in a Capital Markets Services License environment, ideally with exposure to retail investor products.
- Strong working knowledge of MiCAR, MaRisk/MaComp, and other EU financial regulations.
- Expertise in securities, collective investment schemes, OTC derivatives, and crypto assets.
- Proven ability to write clear, effective policies and translate regulatory requirements into business processes.
- Commercially minded with a proactive, self-driven approach.
- Strong decision-making skills and ability to work independently.
- Excellent communication and stakeholder management capabilities.
- Highly analytical with a problem-solving mindset.
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