Securities Compliance Officer (m/w/d)
A prominent banking institution with a strong presence in the German financial market is seeking a compliance professional to strengthen its oversight of securities-related activities. The organization operates across retail, corporate, and investment banking, and places a high priority on regulatory adherence, investor protection, and operational transparency. This role sits within the Compliance department and focuses on ensuring the institution's securities business aligns with national and EU-level regulatory frameworks.
Key Responsibilities:
- Ensure adherence to securities regulations, including the German Securities Trading Act (WpHG), MiFID II, and internal compliance standards.
- Support the development and refinement of compliance frameworks related to securities trading and investment services.
- Conduct risk analyses and contribute to the formulation of mitigation strategies.
- Collaborate with internal departments to ensure regulatory compliance across business operations.
- Prepare documentation and reports for internal stakeholders and regulatory bodies.
- Deliver training and advisory support on compliance matters, particularly in the area of securities.
Requirements:
- Academic background in law, economics, or a related discipline.
- In-depth knowledge of financial markets and securities regulation.
- Professional experience in compliance, legal, or audit functions within the financial sector.
- Strong analytical capabilities and attention to detail.
- Proficient in German; English skills are advantageous.
- Ability to work independently and collaboratively in a fast-paced environment.
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