Compliance Officer - Frankfurt am Main, Deutschland - Saxton Leigh

Saxton Leigh
Saxton Leigh
Geprüftes Unternehmen
Frankfurt am Main, Deutschland

vor 2 Wochen

Lena Wagner

Geschrieben von:

Lena Wagner

beBee Recruiter
Beschreibung

THE COMPANY:

Our client is an international commercial bank, with assets of over $20 billion. They are looking for a Compliance Officer for their branch in Frankfurt.


THE RESPONSIBILITIES:


  • Ensuring compliance with the regulations specified by BaFin
  • Initiating the development and adaptation of the necessary activities as well as monitoring compliance with the internal regulations and those specified by the head office, preparing/updating the manual.
  • Monitors and evaluates the principles and procedures established in the company as well as the measures taken to remedy deficiencies
  • Ensure, through regular riskbased monitoring activities, that the established principles and procedures, i.e., the company's organizational and work instructions, are complied with and that employees have the necessary awareness of compliance risks;
  • Ensure that conflicts of interest are avoided and that unavoidable conflicts of interest are adequately taken into account. This applies in particular to the protection of customer interests.
  • Checks whether the control actions listed in the organizational and work instructions are carried out regularly and properly by the specialist departments;
  • Carry out onsite audits. The compliance officer must determine on a risk
- oriented basis which on-site audits his or her organizational unit will carry out itself (compliance section). This must be justified in a manner that is comprehensible from an auditing perspective. The number of random samples must be recorded;

  • The monitoring activities to be performed may be based, but not exclusively, on audit results of the internal audit;
  • The Compliance function monitors the complaint procedure and uses complaints as a source of information in the context of its general monitoring tasks. The company grants the compliance function unrestricted access to all complaints. The Compliance function, however, does not have to be involved in the operational handling of complaints.

EXPERIENCE REQUIRED:


  • Several years of relevant professional experience in the field of compliance or audit, ideally at a universal bank
  • Experience with AML advantageous
  • Very good knowledge of spoken and written German and English
  • Good user knowledge of MS Office products
  • Analytical, conceptual and holistic thinking skills
For further information please contact Jordan White
Mehr Jobs von Saxton Leigh
Alle Jobs von Saxton Leigh anzeigen