Head of Compliance - Investment Banking Head of Compliance - Investment Banking …

Goodman Masson
in Frankfurt am Main, Hessen, Germany
Permanent, Full time
Last application, 04 Jun 20
EUR100000 - EUR125000 per annum
Goodman Masson
in Frankfurt am Main, Hessen, Germany
Permanent, Full time
Last application, 04 Jun 20
EUR100000 - EUR125000 per annum
A leading Investment Bank are seeking a Head of Compliance for their office in Frankfurt.

A leading Investment Bank are seeking a Head of Compliance for their office in Frankfurt.

This is a Frankfurt based role with oversight across the European Region. The candidate should have solid Investment Banking experience, ideally gained from a major US or European Investment Bank. The candidate must be educated to degree level and have a thorough knowledge of the rules across the various regulators within the European Region, with a primary focus on the German Regulator, the BaFin.

Key duties include:

  • Providing training to front office personnel on general regulatory matters such as the code of market conduct, sales practices as well as on other ad hoc regulatory matters
  • Maintaining regulatory and exchange relationships, including dealing with exchange queries, investigations and audits as well as formal regulatory enquiries from national regulators such as the BaFin
  • Assisting in the response to alleged violations of rules, regulations, policies, procedures, and standards of conduct by evaluating, recommending the initiation of, and/or carrying out investigative procedures
  • Building and maintaining strong relationships with the Front Office, Operations etc. and with Compliance colleagues globally
Company Overview

With a team of over 200 and growing every day, Goodman Masson is one of London’s specialist Finance and Technology recruitment businesses. Voted ‘Best Recruitment Company to Work For’ in 2018, our passion for what we do is clear.

Based in London, Düsseldorf and New York, we hold annual revenues exceeding £42 million. This includes Qualified & Part-Qualified / Transactional Finance, Actuarial & Investment Management, Audit, Banking Operations, Compliance & Financial Crime, Front Office, Housing Development, Information & Cyber Security, Technology, Digital & Data, Product Control & Valuations, Projects, Change & Transformation, Risk & Regulation, Tax and Treasury.

We also have a Solutions team who provide RPO, hybrid and volume recruitment services. Alongside this, Goodman Masson have developed an Executive Search team who focus on sourcing C-suite talent to fee earning Legal partners.

 

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