Senior Compliance Officer CMS (f/m/d)
Posted on Nov 22, 2019 by Deutsche Börse AG
However, Deutsche Börse Group's products and services are by no means limited to trading "as such": its business areas cover the entire value chain in the financial services sector, ranging from pre-IPO services and the admission of securities, through trading, clearing and settlement to custody services and other financial instruments, along with collateral and liquidity management. Additionally, the Group provides IT services, indices and market data worldwide.
Field of Activity
The Compliance Function works in close coordination with the individual business units and other group control functions to ensure compliance with national and international laws and regulations applicable to various units of the Deutsche Börse Group and its business activities. The Compliance Function has a proactive role in the identification of possible compliance or reputational risks, including those that may arise in connection with new activities and products. Compliance defines group-wide compliance policies, supports their consistent application within the group entities, and provides centralized services 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.
To ensure group-wide consistency and apply proven market practices Compliance establishes a Compliance Management System (CMS) and seeks support to develop and implement group-wide standards.
- Develop and apply key components of an efficient and effective group-wide CMS aimed to reduce and avoid breaches of laws and regulations
- Design and standardize the methods for identifying Compliance risks within the Deutsche Börse Group
- Support the manifestation of corporate culture with Compliance within Deutsche Börse Group
- Extend Compliance strategy on operational Compliance duties, derived from field of activities within Group Compliance
- Promote transparency with respect to Compliance objective as derived within the context of Deutsche Börse Group's Compliance Strategy and ensure consistent internal and external communication
- Coordinate the integration and reflection of Compliance related activities into IT tools to foster and promote digitalization within the Compliance area
- Further develop the level of standardization in terms of process and control environment within Compliance
- Foster and promote the collaboration between Compliance and other relevant control functions and respective business areas
- Support the continuous improvement and optimisation of Compliance processes and procedures
- University degree in Economics, Finance or Law or a relevant comparable qualification
- Knowledge of relevant regulatory requirements applicable to Deutsche Börse Group (e.g. KWG, WpHG, GwG, MiFID II, GDPR, MAR, MaRisk, MaComp, BAIT)
- Minimum of 5 years of relevant practical experience gained either in Compliance of a financial institution, from an audit and assurance firm or as member of a supervisory authority to the financial service industry
- Communication and negotiation skills, including the ability to present complex situations in a comprehensive manner
- High level of initiative, commitment and motivation
- Strong conceptual and methodological skills
- Attention to detail and organisational skills
- Proficiency in written and spoken English and German is required
Dedication, team and communication skills, flexibility as well as competent handling of MS Office applications round out your profile. There are numerous good reasons to work for us: responsibility at an early stage, attractive social benefits, an international working environment and a broad variety of career opportunities. Applications from disabled persons are welcome.
Are you interested in working with a pleasant and very dedicated team? Convince us with an appealing application. Please use our online application portal.
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