AFC Compliance Officer - Employee & Securities Compliance (f/m/d)

Field of activity

The Section Group Anti Financial Crime (GAFC) is assigned to the area Group Compliance within Deutsche Börse Group. Group Compliance works closely with the individual business units and group control functions to ensure compliance with applicable laws, rules, regulations, professional and market standards applicable to the various units of the Deutsche Börse Group and its business activities. The Compliance Function has a proactive role in the identification of possible compliance or reputational risks, including those that may arise in connection with new activities and products. Group Compliance defines group-wide compliance policies, supports their consistent application within the group entities, and provides centralized services.

Group Compliance plays a significant role in protecting Deutsche Börse Group from financial loss or non-financial damage that may result from the failure of being compliant with related laws and regulations, and in protecting Deutsche Börse Group’s employees, from direct or indirect effects in case of non-compliant behavior.Group Compliance defines Group-wide policies, supports their uniform application within the Group companies and provides centralized services/processes to prevent money laundering and terrorist financing, international financial sanctions, market abuse and corruption, as well as those that serve data protection, the handling of conflicts of interest and other legal requirements.

Tasks/responsibilities:

Employee Compliance

Support establishing and maintaining group-wide risk-based measures to prevent and identify market abuse activities,  conflicts of interest and bribery and corruption. Especially in the context of:

• Annual and ad-hoc (if required) update of relevant regulatory and risk analyses
• Annual and ad-hoc (if required) update of relevant policies and procedures
• Annual and ad-hoc (if required) update of the 2LoD procedures (according to Control Plan)
• pre-clearance, monitoring, assessment and reporting processes
• Oversight of DBAG ad hoc publicity framework
• Advise on risk area-specific matters, requests, issues and on relevant laws & regulations towards business and control functions, incl. Executive Management
• Establishing and conducting regular awareness raising measures, including risk area-specific trainings (web-based and classroom)

Securities Compliance

Support establishing and maintaining group-wide risk-based measures compliance with securities compliance requirements (WpHG). Especially in the context of:

• Annual and ad-hoc (if required) update of relevant regulatory and risk analyses (to be provided to legal entity management)
• Annual and ad-hoc (if required) update of relevant policies and procedures
• Annual and ad-hoc (if required) update of the 2LoD procedures
• Advise on risk area-specific matters, requests, issues and on relevant laws & regulations towards business and control functions, incl. Executive Management
• Establishing and conducting regular awareness raising measures, including risk area-specific trainings (web-based and classroom)

Criminal Offences

Advice and support in group wide Anti Financial Crime (AFC)- related matters, focusing on Other Criminal Offences in order to meet Compliance standards. In this role you will work independently and collaboratively with other stakeholders on sustainable solutions. This includes: 

• to support the business with analysing and specifying compliance related requirements, focusing on Other Criminal Offences
• to support the MLRO with upcoming ad-hoc tasks and projects by independently taking the lead for assigned activities
• carrying out / monitoring control actions and/or internal investigation
• Responsibility for necessary support, especially on time sensitive issues and take over other frequently occurring Compliance tasks
• Support in ensuring the operational running of the whistleblowing system

Qualifications/required skills:

• University degree in law, economics or comparable qualification
• Knowledge of financial regulations, in particular in banking and capital market law (MiFID / MiFIR, MAD / MAR, FCPA, UK Bribery Act, Anti Money Laundering)
• Professional experience in the financial industry or in compliance
• High analytical skills
• High Attention to detail and organizational skills
• Sound communication and negotiation skills, including the ability to present complex issues in a clear and comprehensive manner
• High level of initiative, commitment, motivation, and flexibility
• Fluent in English, both, written and spoken, knowledge of another language is an advantage
• Very good knowledge of MS Office applications

You can look forward to our benefit package:

• Hybrid Work and Flexible working hours
• Work from abroad - 12 days of remote work from EU countries per year
• Pension fund contribution - 3% of your gross salary (5% after 5 years with us)
• Health & Wellbeing - fully covered Multisport card, life & accident insurance, sick days and 100% salary contribution during sick leave (up to 56 days)
• 25 vacation days
• Mobility - fully covered public transport in Prague & free parking
• Flexible Benefit Account (Pluxee) - 1200 per month
• Group Share Plan - discount on company shares
• Personal Development - annual budget of €690 .. and way more!