(Senior) Compliance Officer for Wealth Management and 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.

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).