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Compliance Officer Securities Trading (WpHG) (f/m)

Compliance Officer Securities Trading (WpHG) (f/m)

  • Company
  • Deutsche Börse AG
  • Fields of work
  • Controlfunctions
  • Location
  • Frankfurt/Main
  • Entry level
  • Graduates
    Senior Professionals
    Young Professionals

Your qualifications

  • Applicants with professional experience
  • Entry-level employees
  • University degree in economics or law
  • Knowledge in the area of securities compliance (MiFID I and II / MiFIR, MAD / MAR, KWG, WpHG, MaComp, MaRisk etc.)
  • Knowledge in securities trading & settlement
  • Strong analytical skills
  • Attention to detail and organizational skills to ensure accurate and complete documentation of decision making
  • Communication and negotiation skills, including ability to present complex matters in a clear and comprehensive way
  • Strong individual initiative, high level commitment and motivation
  • Proficiency in written and spoken German and English is required

Your tasks and responsibilities

  • Monitor the regulatory developments, as well as the implementation of regulatory requirements in the compliance written framework
  • Identify gaps and implement appropriate solutions with regard to new laws and regulations (MiFID / MiFIR / MAD/MAR, KWG, WpHG, MaComp, MaRisk etc)
  • Continuously advise and support in the context of the introduction of laws and regulations within Deutsche Börse Group
  • Pro-actively advise in the context of the introduction of new products, services or organizational changes
  • Support with the preparation and enhancement of relevant Risk Analysis and develop risk-based securities measures including the assessment of its effectiveness and adequacy
  • Carry out regular 2nd level controls to verify compliance with the regulatory requirements (focus on WpHG) including internal regulations
  • Support for the preparation of reports to relevant bodies
  • Define and further develop the compliance framework
  • Informing and training employees on compliance topics

Description

Deutsche Börse AG opens up international capital markets for its customers. Its product and service portfolio covers the entire process chain from securities and derivatives trading through the settlement of transactions and provision of market information to the development and operation of electronic trading systems. With its process-oriented business model, Deutsche Börse increases the efficiency of capital markets. Committed employees are the key factor for innovation and further growth. Without them Deutsche Börse Group would not have developed into one of the most modern exchange organisations in the world. More than 5,300 employees work for the Group - a dynamic, motivated and international team.

The Compliance Function works in close coordination with the individual business units and other group control functions to ensure adherence to national and international laws and regulations applicable to various components of the Deutsche Börse Group and all their areas of activity. Compliance defines group-wide compliance policies, supports their consistent application across group entities, and also provides centralised services in areas including the prevention of money laundering and terrorist financing, international financial sanctions, anti-corruption; data protection, and the prevention of conflicts of interest and related securities law requirements. Members of the Compliance Function will not only gain experience with various compliance responsibilities, but also have exposure to a broad rang of global financial activities.

Reference number: 50024857

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