(Senior) Compliance Officer for Wealth Management and Asset Management, Frankfurt

BNP Paribas

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BNP Paribas

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Francfort-sur-le-Main
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(Senior) Compliance Officer for Wealth Management and Asset Management, Frankfurt

CDI
Banque
Finance
Gestion comptabilité / Finance
Publiée depuis 8 jours
 

BNP Paribas

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.

Tasks & Responsibilities

  • Oversight of risks related to investor protection (PIC) and advising the Business on PIC related regulatory and policy implementation matters
  • Reporting and escalation of PIC-risks to the Head of PIC and further Compliance stakeholders
  • Support of internal and external audits related to Wealth Management and Asset Management
  • Adaption and roll-out of policies and operational procedures for Wealth Management and Asset Management
  • Review of marketing material and client classification, in accordance with relevant regulation and procedures
  • Representation of the PIC-Domain in Wealth Management and Asset Management Germany, e.g. in projects of regulatory relevance and committees

Profile

  • University degree or banking related vocational training
  • Several years of experience within the Compliance or Audit related environment
  • Sound knowledge of the general Compliance regulation and national as well as EU legal regulatory requirements in respect to capital markets
  • Good understanding of the Business covered
  • Characteristics such as team ability, communication strength and flexibility
  • Very good German and English language skills in word and writing
  • You don’t meet every criterion? No problem, you are more than welcome to apply anyway. It is important for us that you can develop and grow in this position.
  • Diversity is a strength for us. We are convinced of the numerous advantages of diverse perspectives, experiences and competencies. Our aim is therefore to select candidates in an unbiasedly and open-mindedly: Your CV should contain information on your education and work experience that's all we need. You can find out more about our D&I commitment here(Opens in a new tab).

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