Description du poste
The local Compliance department is part of the Permanent Controls & Compliance organisation in Germany and acts as the second line of defence of the bank in Germany. Compliance is part of the Group wide Compliance business line, headed in Paris. The importance of compliance has grown over the past years, to align with increasing regulatory requirements imposed by national, European and global regulatory authorities, all embedded in Group Compliance policies. In order to comply with these standards, adequate compliance measures are keys for current businesses but also for any kind of new client relationship or new business. As a consequence, compliance plays a significant role in a lot of organisational processes, e.g. in new product development, in new client due diligence, in any planned change of the organisation. However, compliance staff is not only supporting the different functions of the organization in beforehand mentioned context but also and most importantly acting as an advisor to top management whenever crucial decisions need to be taken.
Do you like to investigate, eager to understand the process and/or the issue in detail? Able to have the compliance rules on top of mind but being creative with a pragmatic solution which can help the business further? Then, we invite you strongly to read further and we are looking forward to receive your motivation to join our team.
1. Performing controls related to MIFID II, described in our Group Compliance Control Plan
2. Compare the local processes with the Group Policies and come up with proposals to improve
3. Analyse processes and determine if all compliance risks are in control
4. To have a good understanding regarding overdrafts and support the business to have sufficient controls in place
5. Assist with Audits (WpHG audit, Verwahrstellen audit)
6. Deliver the compliance opinion for new products and services
7. Performing employee related controls: gifts & benefits, personal transactions, additional external professional activities
8. Support the FS team with client onboardings and client reviews (second line KYC)