Compliance Officer - Financial Institutions

Our client is looking for an Compliance Officer to take ownership of the compliance framework and act as a trusted advisor to senior stakeholders. This role offers the opportunity to build, shape, and continuously enhance compliance structures in a fast-growing, regulated capital markets environment.

You will work closely with management and operational teams, translating regulatory requirements into practical, scalable solutions that support business growth while maintaining the highest regulatory standards.

Aufgaben

• Design, implement, and further develop the firm’s internal compliance framework
• Ensure adherence to applicable legal, regulatory, and internal requirements (including WpIG, WpDVerOV, MaComp, MAR, GwG)
• Develop and maintain a risk-based compliance programme aligned with the business model
• Prepare and present the annual compliance report to senior management
• Design, deliver, and document internal compliance training initiatives
• Option to broaden the scope to include anti-money laundering and data protection
• Act as a key point of contact and sparring partner for management, staff, regulators, and external stakeholders

Qualifikation

• Strong expertise in the WpIG framework and related German regulatory requirements
• Professional experience within capital markets (e.g. Sales & Trading, Corporate Finance, Equity Research)
• Proven ability to implement regulation pragmatically in a commercial environment
• Highly structured, analytical mindset with a solutions-driven approach
• Confident communicator with strong stakeholder management skills
• High level of integrity, discretion, and independence of judgment
• Hands-on personality with initiative, precision, and assertiveness
• Uncompromising attitude towards conflicts of interest and regulatory standards

This is

• A rare opportunity to to further shape a regulated investment platform
• Entrepreneurial working environment with flat hierarchies and short decision-making paths
• Close interaction with senior decision-makers and genuine influence on business strategy
• Competitive compensation package and clear development opportunities
• Hybrid working model with a high degree of flexibility
• Innovative, technology-driven setting with significant creative latitude

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