Assumption of the WpHG-Comliance Officer function of the bank
1. Exercise oversight and monitoring of the governance, policies, and processes, as well as the overall quality of the investment services business of the bank.
2. Provide advice to the bank, including support for staff training, day-to-day assistance for staff, and participation in establishing new policies and procedures within the investment services business.
3. Set up, maintain, and execute risk analysis and control plans within the investment services business.
4. Interact with internal and external auditors, as well as supervisory authorities (BaFin).
5. Ensure conflicts of interest are prevented or that unavoidable conflicts are adequately safeguarded.
6. Supervise training and assess the suitability of personnel within the custody and digital wealth management business of the bank.
7. Report to management and the supervisory board.
8. Ensure compliance with requirements for the WpHG compliance function according to Art. 22 (2) MiFID-2, BT 1 MaComp, and other relevant laws and regulations.
Your Profile
1. University degree in Business Administration, Law, or another relevant discipline.
2. Proficiency with relevant laws/regulations for this position (§§ 3, 4 Nr. 4, 6 WpHGMaAnzV; BT 1.3.1.3 MaComp).
3. Strong communication and interpersonal skills to collaborate effectively with internal and external stakeholders.
Knowledge & Experience
1. Knowledge of European and German legal provisions related to providing investment and ancillary investment services by the bank.
2. Understanding of administrative regulations issued by BaFin and relevant ESMA guidelines and standards.
3. Familiarity with all types of investment services and ancillary investment services provided by the bank, including associated risks.
4. Understanding of the functioning and risks of financial instruments involved in the bank's investment services.
5. Knowledge of designing processes to prevent and detect regulatory violations.
6. Clear understanding of the responsibilities and powers of the WpHG compliance function and officer.
7. Insight into the organizational structure of supervisory authorities, conflict of interest identification, and organizational setups of securities service providers.
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