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Compliance Manager

  • Job type: Permanent
  • Location: Frankfurt am Main
  • Salary: Competitive
  • Job reference: Compliance Germany
  • Sector: Banking and Finance, Compliance, Selby Jennings
  • Date posted: 21/05/2018
Compliance Manager


Germany; Frankfurt & Kronberg

€ 60,000-90,000


A global Investment Company is currently seeking a compliance manager for their Frankfurt office. This Investment Company offers world-class investment solutions and retirement expertise to institutions, individuals, and their advisers. They are responsible for total client assets of USD $411 billion from over 2.2 million clients across Asia Pacific, Europe, the Middle East, and South America.  They are growing and are looking for a Compliance Manager to join their Frankfurt team.

Key responsibilities of the compliance manager include:
  • Support the local business partners which include primarily Institutional Business (DB / DC), Personal Investment, Fund Platform, Fund Management, Sales, Marketing, Support Services and local Senior Management to ensure ongoing compliance of their systems/procedures/processes.
  • Support Operational Departments by answering queries and solving problems. Advise the business in all distribution and marketing related compliance queries; ensure that feedback to business areas is helpful, accurate and timely.
  • Action is taken to reduce and/or escalate instances of non-compliance and/or regulatory risk.
  • Assess training needs - provide support to the business.
  • Work with local and international Service provider.
  • Pro-active support to the business and strong interaction with other oversight areas e.g. Risk Management, Legal.
  • Perform Compliance Assessment and monitoring according to procedures
Key requirements include:
  • University Degree
  • At least 2 years of experience in compliance or regulatory services either in the financial industry or in an audit firm/consultancy firm with appreciation of the regulatory environment or law firm.
  • In-depth understanding of the regulatory requirements in the German market (WpHG, KWG, KAGB, GewO).
  • Knowledge of German / European regulations is essential.
  • Knowledge of Compliance issues in an Asset Management environment (Fund Platform, Management Company, IFA, PI).
  • Fluent in German and Business English.
  • The staff at this firm are passionate, engaged, smart and curious, and the firm gives them the independence and the confidence to make a difference.
  • As the firm is growing they are looking for potential leavers, so this role offers exciting career progression.

If you are interested in the compliance manager role, apply online today or contact Isabel Anchebe on 02037588937 for more information.

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