Capitalยทabout 2 months ago
We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talented team.
We are looking for a Compliance & AML Officer who will be accountable for the design, implementation, and ongoing oversight of both the regulatory compliance and AML/CTF frameworks for the German Branch. The role carries dual responsibility: ensuring full adherence to MiFID II/MiFIR and BaFIN conduct and organisational requirements as applied in Germany, and maintaining a robust AML/CTF programme aligned with German AML regulations, EU requirements, and group standards.
Compliance Framework (MiFID II / MiFIR & BaFINโs requirements)
Act as the designated Compliance Officer (CO) under German regulatory requirements and MiFID II organisational obligations.
Design and maintain the compliance monitoring programme.
Monitor and ensure adherence to BaFIN and ESMA regulations.
Review financial promotions, marketing materials, and client communications for compliance with applicable rules.
Maintain the compliance risk register and prepare periodic compliance monitoring reports for senior management.
AML/CTF Framework
Act as the appointed Anti-Money Laundering Officer (AMLCO) under German regulatory requirements.
Develop, implement, and maintain AML/CTF policies, procedures, and controls.
Ensure effective customer due diligence (CDD), enhanced due diligence (EDD), transaction monitoring, and suspicious activity reporting (SAR).
Oversee AML risk assessments and ensure alignment with the firmโs risk appetite.
Regulatory & Governance
Serve as the primary point of contact with BaFin and FIU Germany on AML/CTF matters.
Ensure compliance with German AML Act (GwG), EU AML Directives, and applicable EBA/ESMA guidelines.
Lead regulatory reporting, audits, and inspections related to compliance and/or financial crime.
Provide regular reporting to senior management and the board on compliance AML risks and controls.
Advisory & Oversight
Advise senior management on Compliance and AML/CTF risks, regulatory developments, and control enhancements.
Ensure effective escalation of Compliance and financial crime risks and incidents.
Training & Culture
Develop Compliance and deliver AML/CTF training programs across the Germany entity.
Promote a strong compliance culture and awareness of Compliance and financial crime risks.
Coordination
Collaborate with group Compliance, Risk, Legal, and Operations to ensure consistent application of regulatory compliance and AML standards.
Align local AML practices with group frameworks while meeting German-specific requirements.