Senior Compliance Manager (m/w/d)
Role: Senior Compliance Manager Location: Frankfurt Salary: Competitive and Candidate Dependent We are partnered with a renowned global universal bank that offers a wide variety of financial services, including consumer banking, business solutions, and wealth management. The Role Assist the Team Lead Compliance and Management Board in ensuring adherence to relevant regulatory requirements and internal guidelines. Design, draft, and implement essential compliance policies, procedures, systems, and controls. Stay informed of regulatory developments and provide guidance, advice, and recommendations to Business Unit stakeholders. Evaluate and oversee compliance with established policies and procedures, including the management of any exceptions. Monitor, assess, and report on compliance performance to identify areas for improvement or corrective actions. Create annual reports and provide key management information on significant compliance issues. Manage the complaints process and use feedback as part of overall compliance monitoring activities. Deliver regular compliance training and awareness programs to staff. Cultivate a strong risk-aware culture with a focus on initiatives that strengthen the control environment. The Candidate Minimum of 5 years' experience in a similar legal or compliance role, experienced in MaComp & MaRisk. Solid understanding of German and EU conduct and prudential regulations. Proficiency in German and a strong command of English. Excellent communication skills for engaging with both internal and external stakeholders. Ability to exercise sound judgment and make decisions that align with the business's strategic goals while maintaining a strong focus on compliance. Demonstrates the highest standards of personal integrity and ethical behavior.
Negotiable
Frankfurt am Main
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EU Compliance Officer
Role: EU Compliance Officer Location: Amsterdam Salary: Competitive and candidate dependent Reporting To: Board in Amsterdam / Global CCO A leading HFT venue who have recently launched in Amsterdam is seeking an experienced compliance manager to become responsible for ensuring the organisation complies at all times with external and internal regulations. This involves managing regulatory compliance matters and reporting directly into the chief legal and compliance officer. If you are seeking a strategic opportunity with plenty of remit, do not hesitate to look further! The Role: Advising Trading & Technology on laws and regulations as well as exchange rules; Responding to requests from exchanges or regulators; Collaborating with Compliance departments from other offices around the world and improve global standards (e.g. policies, training); Liaise with local Legal and other functions to ensure correct interpretation and enforcement of laws and regulations; Analysing regulatory developments that have an effect on the markets and the products in which the company trade to identify both risks and opportunities; Advising new business project teams on regulatory aspects; Assistance with regulatory assessments and audits; The Candidate: 5+ years of experience within a regulatory environment; Knowledge of relevant legislation that applies to an algorithmic proprietary trading company/market maker such as MiFID, MAR and EMIR; Knowledge of financial markets and preferably derivative products (futures, options); Analytical and problem-solving skills; Ability to act and perform well in a fast-paced environment; Responsible, self-starting professional with strong analytical skills and who is results orientated; Excellent written and oral communications skills in English;
Negotiable
Amsterdam
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Head of Compliance (m/w/d)
We are seeking an experienced Head of Compliance to lead our client's compliance function in Frankfurt. The ideal candidate will have a deep understanding of German and EU regulations, a proactive approach to risk management, and the ability to lead a team of compliance professionals. Key Responsibilities: Develop, implement, and maintain a robust compliance framework to ensure adherence to German and EU regulatory requirements. Act as the primary point of contact with local and international regulatory authorities, ensuring timely reporting and communication. Lead, manage, and mentor the compliance team, fostering a culture of compliance and integrity within the organization. Oversee compliance monitoring, risk assessments, and audits to identify and mitigate compliance risks. Provide expert advice and guidance to senior management on compliance matters, emerging regulatory trends, and risk management strategies. Develop and deliver compliance training programs for employees to ensure awareness and understanding of relevant policies and regulations. Monitor and review the effectiveness of compliance controls, updating and refining policies as necessary. Manage and handle any investigations, breaches, or incidents, ensuring prompt and effective resolution. Prepare and present compliance reports to the board and senior management, highlighting key risks, trends, and developments. Key Requirements: A bachelor's degree in Law, Finance, Business, or a related field; a master's degree or professional compliance qualification is preferred. Minimum of 8-10 years of experience in compliance within the financial services or banking sector, with a strong focus on German and EU regulations. Proven leadership experience with the ability to manage and motivate a team. In-depth knowledge of German and European compliance regulations, including AML, GDPR, MiFID II, and other relevant frameworks. Strong analytical, problem-solving, and decision-making skills. Excellent communication skills, both written and verbal, with fluency in German and English. Ability to work effectively with senior stakeholders and build strong relationships with regulatory bodies.
Negotiable
Frankfurt am Main
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Accounting Manager
**Accounting Manager - Manufacturing Sector, Oklahoma City** Are you a finance professional looking to take the next step in your career? A leading manufacturing company based in the vibrant heart of Oklahoma City is seeking an experienced Accounting Manager to oversee their corporate financial operations. This permanent role offers a unique opportunity for someone with a strong background in accountancy and finance who thrives on driving business success. Responsibilities: - Oversee accounting procedures and ensure compliance with regulations - Manage budgeting processes, financial reporting, and analysis - Lead internal audits and coordinate external auditing activities - Develop strategies that work towards minimizing financial risk Skills Required: *Corporate Finance*: An understanding of capital structure decisions, investment evaluations & strategic mergers or acquisitions. *Finance General*: Broad knowledge across various aspects including budget development/oversight as well as performance against budgets. *Financial Reporting:* Ability to prepare precise reports reflecting comprehensive income statements balance sheets cash flow etc., adherent statutory law international standards when applicable (e.g., GAAP IFRS).
US$80000 - US$95000 per year
Oklahoma City
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Senior Compliance Officer - Asset Management
Position: Senior Compliance Officer Company: Asset Management Location: Amsterdam Are you an experienced Compliance Officer with expertise in asset management, seeking a dynamic environment where you can shape and enhance the Compliance function? Do you have strong subject-matter expertise, a proactive approach, and enjoy collaborating in a team? If so, we would like to connect with you. About The Role As a Senior Compliance Officer, you'll be a key player within the Compliance department's Advice & Account Management team. In this role, you will uphold the Compliance framework and policies, offer guidance to first-line teams, review communications and product proposals, engage in projects, and provide training. The department is focused on standardizing methods and delivering advice aligned with legal obligations, and you will have an active role in this development. Key Responsibilities Establish and maintain the Compliance framework. Advise first-line stakeholders on regulatory requirements and their implementation. Provide insight and guidance in projects and product development. Draft, update, and maintain compliance policies. Train employees in regulatory laws, industry regulations, and internal codes of conduct Skills & Qualifications What You Bring To excel in this role, you should have strong analytical and problem-solving skills to navigate complex regulatory challenges. Adaptability and resilience are key, as you will work in a dynamic compliance landscape with evolving needs. Effective stakeholder management is essential for building trust and collaboration across various teams. Additionally, we are looking for: An academic degree (Master's) in law, accountancy, economics, finance, or a related field; a Compliance certification is a strong advantage. A minimum of 8 years of experience in the financial sector, ideally within asset management and Compliance. Experience in fiduciary management is also beneficial. A team-oriented mindset and enjoyment in working with colleagues and stakeholders across teams. A content-driven approach and the ability to take initiative. Excellent communication skills, with the ability to convey information clearly and persuasively in both verbal and written forms. Full professional proficiency in English; Dutch language skills are advantageous
Negotiable
Amsterdam
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Compliance Officer - Mortgage
Company: Mortgage Brokerage Title: Compliance Officer Location: Rotterdam About We are a leading organization in the mortgage sector, supporting over 180 independent franchise branches and dedicated to helping customers achieve homeownership with confidence. Our compliance team plays a crucial role in fostering a culture of integrity and adherence to regulatory standards, ensuring a trusted experience for both franchisees and customers. Role As a Compliance Officer, you will be a key contributor to ethical and compliant business practices across our organization. Working closely with the Head of Compliance & Privacy, you'll support both our central office and franchise locations in meeting regulatory requirements and embedding risk-awareness throughout the company. This position offers an opportunity to directly impact our compliance framework in an evolving, high-ambition environment. Key Responsibilities Compliance Advisory: Provide guidance on compliance issues to directors and management. Ethics Promotion: Champion an integrity-focused culture across the organization and franchise branches. Risk Management: Maintain and enhance the compliance risk management system. Monitoring & Reporting: Ensure compliance with laws and regulations, identify potential risks, and produce comprehensive reports. Training & Development: Conduct training sessions and provide ongoing information on compliance and integrity topics. Investigation & Improvement: Investigate potential irregularities and contribute to continuous improvement efforts. Qualifications Bachelor's degree with years relevant years of experience in compliance, ideally in financial services or mortgages. Strong communication and analytical skills. A careful, systematic approach to work with a collaborative, team-focused attitude. Experience in mortgage products or business processes is a plus. Preferably, a completed compliance certification or a commitment to obtaining one. What They Offer A challenging, varied role with significant opportunities for impact and growth. A dynamic, hybrid working environment that values initiative, personal development, and innovation. Support for professional growth, including an annual training budget and ample scope for your vision on learning and development. If you're ready to be part of a dedicated, driven team in a market-leading organization, we'd love to hear from you!
Negotiable
Rotterdam
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Lawyer - Capital Markets
Job Title: Capital Markets Lawyer Location: Frankfurt, Germany Company: Global Investment Bank Key Responsibilities: Support European investment banking teams across Frankfurt, London, and other European locations on small-cap and mid-market ECM capital raises and M&A advisory services. Negotiate and review transactional documentation for both public and private M&A, ECM, and DCM transactions. Advise deal teams and participate in due diligence sessions as required. Provide legal advice and assistance to other internal stakeholders. Provide ad-hoc general legal advice and assist with specific projects and proprietary work streams. Skills & Experience Required: German-law qualified and business fluent in German (both written and spoken). Excellent academic qualifications are a big bonus. 3-6 years of post-qualification experience with broad capital markets/securities experience; general M&A experience is a plus. Knowledge of US securities laws is a plus, though not essential. Benefits: Competitive salary and bonus structure. Dynamic international work environment with exposure to cross-border transactions. Hybrid work model with 2 days working from home per week. How to Apply: If you are a Capital Markets lawyer currently working in a law firm or bank, and you're ready to take on an exciting role with a global investment bank, we encourage you to apply today!
Negotiable
Frankfurt (Oder)
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Compliance Officer/Deupty Head of Compliance
A leading global investment management firm is seeking an experienced Deputy Head of Compliance to join their growing compliance team.This senior-level position offers an exciting opportunity to work in a fast-paced and challenging environment, overseeing both regulatory and AML functions while ensuring that our firm adheres to the highest standards of compliance across all operations. Key Responsibilities: Compliance Oversight: Provide strategic leadership and guidance in the implementation and execution of compliance policies and procedures across the firm, ensuring adherence to all applicable regulations. Regulatory Compliance: Oversee the firm's compliance with local and international regulations, including but not limited to SEC, FCA, CFTC, and other relevant regulatory bodies. Develop and manage compliance frameworks for both domestic and international markets. AML Oversight: Manage the firm's Anti-Money Laundering (AML) program, ensuring that robust controls are in place to prevent financial crime, including the monitoring of transactions, conducting due diligence, and managing investigations of suspicious activity. Risk Management: Conduct compliance risk assessments to identify potential areas of exposure and recommend effective solutions to mitigate risks across all business functions. Training and Education: Develop and lead compliance training programs for staff, ensuring awareness of regulatory obligations and fostering a strong culture of compliance across the organization. Reporting and Documentation: Prepare regular compliance reports for senior management and the Board of Directors, detailing the firm's compliance status, regulatory changes, and potential risks. Advisory Role: Act as a key advisor to senior leadership and other business units on compliance-related matters, including product development, investment strategies, and operations. Requirements: Experience: Minimum of 5 years of compliance experience in a buy-side investment management firm, with a strong background in generalist compliance functions, including regulatory compliance and AML. Expertise in Regulations: In-depth knowledge of global financial regulations (SEC, FCA, MiFID II, FATCA) and the ability to interpret and apply these regulations within a buy-side context. AML Expertise: Proven experience managing AML programs, conducting KYC and ongoing monitoring, and handling suspicious activity reporting. Communication Skills: Exceptional verbal and written communication skills, with the ability to articulate complex compliance issues in a clear and concise manner to senior management, business leaders, and regulators. Leadership: Strong leadership capabilities with a collaborative approach to working across departments. Analytical Skills: Excellent problem-solving and analytical skills with attention to detail, particularly in interpreting regulations and applying them to day-to-day operations. Qualifications: A relevant compliance certification (e.g., CAMS, ICA, or similar) is desirable. A law or finance-related degree would be an advantage. If interested please send your CV
Negotiable
London
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Senior Legal Manager
Title: Senior Legal Manager Company: Corporate Services Location: Amsterdam About We are a team-driven organization with a strong focus on collaboration across disciplines to deliver the best solutions for our clients. From multiple global locations, our team of over 150 legal and financial professionals provides services to a wide variety of clients, including high-net-worth individuals, family offices, and companies in various industries. We are committed to fostering both personal and professional growth. We seek individuals who value integrity, empathy, collaboration, and an entrepreneurial spirit. Role As a Senior Legal Manager, you will be responsible for the daily legal management of an international client portfolio. Working as part of a dedicated client service team, you will collaborate with financial and support colleagues to uphold the integrity of client portfolios and ensure the consistent delivery of high-quality services. This role involves managing complex inquiries, client satisfaction, and providing comprehensive corporate services. Responsibilities Legal Management Maintain legal compliance for a diverse client portfolio, including coordinating entity setups, restructurings, and dissolutions. Lead and participate in board meetings; draft and review legal documents such as resolutions, contracts, and agreements. Manage complex transactions like mergers and acquisitions, collaborating with external advisors as needed. Support junior team members, ensure accurate data management, and handle filing and compliance with local regulations. Negotiate price agreements and monitor accounts receivable. Risk & Compliance Assess client structures, identify potential risks, and ensure full compliance with policies and local regulations. Oversee client transactions and manage compliance reviews, providing guidance on legal, regulatory, and tax issues. Manage client acceptance and ongoing compliance procedures. Relationship Building & Business Development Foster relationships with international clients and partners, including law firms, notaries, and tax consultants. Support business development, including fee proposals and portfolio growth, while organizing networking and client event. Skills & Qualifications Proficiency in Microsoft Office Familiarity with the Dutch Corporate Law At least three years in the Dutch trust industry 3+ years of relevant experience in corporate legal support Experience managing and advising international clients A Master's degree in law (Dutch Law with a focus on company, notary, or fiscal law) Excellent communication and interpersonal skills If you're proactive, client-focused, digitally adept, and ready for a dynamic work environment, I encourage you to apply!
Negotiable
Amsterdam
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Associate director regulatory advisor
Our client is seeking an experienced Associate Director, Regulatory Advisor to join their dynamic team in London. This role will focus on providing regulatory guidance and support within the asset management sector, ensuring compliance with relevant regulations while enhancing our strategic objectives in public and private markets. Key Responsibilities: Regulatory Advisory: Provide expert advice on regulatory frameworks affecting asset management, with a strong focus on public markets. Compliance Oversight: Ensure adherence to all relevant regulatory requirements and internal policies, proactively identifying potential compliance risks and implementing solutions. Stakeholder Engagement: Collaborate with internal teams, including legal, compliance, and operations, to align regulatory strategies with business objectives. Policy Development: Contribute to the development and implementation of regulatory policies and procedures, ensuring they are up to date with changing regulations. Training and Support: Develop and deliver training programs for staff on regulatory matters, fostering a culture of compliance within the organisation. Market Insight: Stay abreast of industry trends, regulatory changes, and best practices to provide informed recommendations to senior management. Reporting and Analysis: Prepare and present regulatory reports to senior management, highlighting compliance status and potential areas of concern. Qualifications: Experience: 7-10 years of relevant experience in regulatory advisory roles within the asset management sector preferably. Regulatory Knowledge: In-depth understanding of UK and EU regulatory frameworks. Market Exposure: Experience with both public markets and a understanding of private markets is a plus. Analytical Skills: Strong analytical and problem-solving skills, with the ability to interpret complex regulations and translate them into actionable strategies. Communication Skills: Excellent verbal and written communication skills, capable of engaging with diverse stakeholders and presenting complex information clearly. Education: A relevant degree in finance, law, economics, or a related field. Additional professional qualifications are a plus. If interested, please send your CV outlining relevant experience to-
Negotiable
London
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Compliance Officer
We are seeking a Compliance Officer to join our clients London office. The Compliance Officer will be responsible for ensuring that the organisation adheres to regulatory requirements and internal policies. This role involves monitoring compliance with laws and regulations, conducting audits, and providing guidance to staff on compliance matters. Key Responsibilities: Monitor and review products and processes regularly to ensure they meet compliance standards. Develop, implement and maintain regulatory compliance. Oversee and ensure compliance procedures are effectively executed, adhering to relevant regulations. Conduct regular reports for management and regulatory authorities as required. Provide training and support to employees on compliance-related issues. Identify and assess compliance risks. Act as the point of contact for the regulatory bodies. Qualifications: Bachelor's degree in Finance, Law, Business, or a related field. Proven experience in a compliance role, within the financial services sector. Strong knowledge of relevant regulations and compliance best practices. Excellent analytical and problem-solving skills. Strong communication and interpersonal abilities. If interested in this position, please apply or email an updated CV
Negotiable
City of London
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