Senior Compliance Officer (f/m/d)

Your area of work:

The Compliance Function works closely with the individual business units and group control functions to ensure compliance with local and international laws and regulations applicable to Deutsche Börse Group and its business activities. The Compliance Function has a proactive role in the identification of possible regulatory or reputational risks, including those that may arise in connection with new activities and products. Compliance Function works in collaboration with Group Compliance which is responsible for defining group-wide compliance minimum applicable requirements, supports their uniform application within the group entities, and provides centralised services to prevent money laundering and terrorist financing, international financial sanctions, other criminal offences, data protection, and the prevention of conflict of interests or market abuse. The successful candidate will play a crucial role in ensuring our organization adheres to all relevant laws, regulations, and internal policies. This position involves also maintaining a robust compliance framework, conducting regular and ad-hoc reporting, providing advice to business and managing a comprehensive legal inventory.

Your responsibilities:

• Maintain and improve the CFCL’s compliance framework

• Monitor the development of regulatory obligations and requirements in EU countries regarding the AML/CFT matters 

• Ensure the compliance framework aligns with industry standards and regulatory requirements.

• Conduct regular reviews and updates of compliance policies and procedures.

• Provide support in Compliance oversight over CFCL’s Subsidiaries and Branches.

• Provide guidance and support to the business teams concerning AML/CFT matters  and Communicate relevant legal updates and changes to affected departments and personnel

• Reviewing client profiles at on-boarding to ensure conformity to AML/KYC policy/ standards, producing client document requirements and due diligence analysis

• Coordinates and follows up on the information and documentation gathering with various stakeholders involved in the on-boarding process

• Performs regular and ad-hoc compliance-related reviews  of client files

• Performs duties such as logging information, follow-up phone calls, establishing files

• Corresponds and interacts with other members of the company and group affiliate entities

• Performs other ad-hoc duties as assigned by the Chief Compliance Officer or Senior members of the compliance department

• Reviewing/ Supervision of alerts arising from the screening of databases against sanctions lists

• Working with relevant internal and external tools and applications

• Internal and external meetings, including preparation of various type of presentations

• Contribution to completion of reporting, both internal and external 

• Ensure timely submission of all required regulatory filings and disclosures.

• Responsible for strengthening and promoting the compliance culture within the company.

Your profile:

• University degree in a relevant field such as Law, Finance, Economics, or Business Studies

• 6+ years experience in the compliance field, general Compliance topics.

• Experienced in Compliance matters - including an understanding of the requirements in the fund industry at European and local levels (mainly Ireland and Luxembourg)

• Experience in a Know Your Customer (KYC) type assessment unit or as business relationship manager

• Experience in AML, International Sanction or Transaction Monitoring highly appreciated.

• Attention to details, organizational skills and team spirit

• Analytic, critical thinker and constant problem-solving attitude  

• Excellent communication skills, organization and time management skills

• Commitment, ability to work independently, inquisitive mindset/Intellectual curious  

• Ability to communicate and negotiate, including the ability to understand, interpret and present complex issues in a way that makes it comprehensible to third parties 

• Good command of MS-Office applications (Word, Excel, and PowerPoint)

• High level of proactivity, dedication, and motivation 

• Proficiency in written and spoken English (French and/or German is a plus)