Compliance Team Lead - Capital Markets

  • Posted: 14/02/2024
  • Salary: -
  • Location: frankfurt, Germany
  • Job Type: Permanent/Fixed Term

Job Title: Compliance Team Lead - Capital Markets 

Introduction:

Join our esteemed global bank in Frankfurt as a Compliance Team Lead with specialized experience in capital markets. As a key member of our compliance team, you will play a crucial role in ensuring adherence to regulatory requirements and mitigating compliance risks within the dynamic environment of capital markets. If you are a seasoned compliance professional with a deep understanding of capital markets and a proven track record of leadership, we invite you to apply and contribute to our commitment to integrity and regulatory excellence.

Responsibilities:

  • Lead and oversee the compliance function for capital markets activities, including equity, fixed income, derivatives, and structured products, ensuring adherence to regulatory requirements and internal policies.
  • Develop and implement compliance programs and policies specific to capital markets activities, providing guidance and training to internal stakeholders on regulatory obligations and best practices.
  • Conduct regular compliance assessments and audits to evaluate the effectiveness of controls and identify areas for improvement, collaborating with internal audit and risk management teams as necessary.
  • Stay abreast of regulatory developments and industry trends related to capital markets, assessing their impact on the bank's operations and implementing necessary changes to ensure compliance.
  • Serve as a subject matter expert on compliance matters related to capital markets, providing guidance and support to business units and senior management on compliance issues and regulatory inquiries.

Requirements:

  • Bachelor's degree in finance, business, law, or a related field; advanced degree or professional certification (e.g., CAMS, CFE, CRCM) preferred.
  • Minimum of 5-7 years of experience in compliance roles within the financial services industry, with a focus on capital markets compliance.
  • Strong understanding of regulatory requirements and industry standards related to capital markets, including but not limited to MiFID II, MAR, EMIR, and other relevant directives and regulations.
  • Proven leadership skills with the ability to effectively lead and develop a team of compliance professionals in a fast-paced environment.
  • Excellent communication and interpersonal skills, with the ability to interact effectively with senior management, regulators, and internal stakeholders.
Anis Soomaroo Associate Consultant

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