Senior Compliance Officer (m/f/d) PIC Wealth Management & Asset Management, Frankfurt

DAB BNP Paribas ist die Bank für unabhängige Vermögensverwalter, Fondsvermittler, Anlageberater und institutionelle Kunden. In Deutschland führen bereits mehr als 60% aller bei der BaFin zugelassenen Finanzportfolioverwalter ihre Endkundendepots bei uns. Damit sind wir in diesem Segment der klare Marktführer! Für unsere Kunden sind wir heute ein stärkerer Partner denn je: Als Teil des großen Netzwerkes unserer Muttergesellschaft, der französischen BNP Paribas.

Grow through professional challenges

• Oversight of PIC-related risks and advising the business on PIC-related regulatory and policy implementation matters as Subject Matter Expert, incl. within the TAC/NAC process and set-up of a robust PIC control framework; incl. oversight over the performance of PIC related 1st level controls
• Representation of the PIC WM/AM Germany domain across relevant group committees as delegate of the Head of CCM
• Contribution to PIC WM/AM projects/ initiatives within Germany and relevant MI reporting/risk assessments
• Oversight and contribution to regulatory and internal PIC–related audits as well as various communications towards the regulators and auditors

Impress with your skills

• University degree or banking–related vocational training
• Profound experience within capital markets compliance (WpHG, MIFID II, MaComp, PRIIPs etc.) or capital markets audit–related environment
• Experience with Wealth Management and Asset Management business is a plus
• Great attention to detail, sense of responsibility and ability to perform under pressure
• Client focus
• Excellent analytical skills, accuracy, resilience, organizational skills
• Excellent interpersonal & communicational skills

Benefits

• Mobile working for an ideal work-life-balance
  
• Strong international community within the BNPP-group
  
• Company pension scheme in the form of a membership in BVV banking insurance