Compliance and Corporate Governance Officer.
This is an exciting opportunity has come up with an International Trading house for a Senior Compliance officer with a strong background working within an investment bank, brokerage or Trading house to act as the firm’s compliance officer for their German Trading Business in Hamburg, reporting into the Group Head of Compliance based in London but working closely with the MD’s that lead their German Business. In this role you will be responsible for the relationship with BaFin. This is a new role for the firm but you will have excellent support from the group Compliance team and from a local third-party compliance consultancy, but you will have the opportunity to grow and develop the role. This is an excellent opportunity to move into a compliance leadership role within an international trading business.
My client is well known for their excellence in their Market and for their positive culture.
Key Responsibilities:
* Assume roles of local approved Compliance Officer, Outsourcing Officer, and Money Laundering Prevention Officer/Anti-Financial Crime Officer.
* Lead interactions with German regulatory authorities.
* Support Managing Directors in maintaining robust corporate governance arrangements.
* Oversee compliance monitoring, reporting, and escalation processes.
* Conduct horizon scanning for regulatory changes impacting the firm.
* Prepare and deliver compliance training and awareness sessions for staff.
* Manage outsourcing arrangements and ensure compliance with applicable regulations.
* Liaise with auditors and other external stakeholders as required.
Essential Skills and Experience:
* In-depth knowledge of EU derivatives trading regulations and German legislation for investment firms (MiFID II, EMIR, MAR, AMLD).
* Strong understanding of compliance and risk control processes.
* Demonstrated expertise in compliance monitoring, reporting, and regulatory engagement.
* Experience in a regulated financial services environment, preferably with exposure to commodities or other derivatives markets.
* Minimum of 5 years of Compliance experience.