Senior Compliance Officer - Monitoring & Controls (f/m/d)

Your area of work:

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 DBG 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. Within Group Compliance, the unit MaRisk Compliance & Banking Regulation acts as a coordinating oversight function regarding developments in prudential regulation with particular focus on banking regulation, selected investment firm regulation and ESG (Environmental, Social, Governance)-related initiatives and requirements. The team identifies responsibilities to ensure timely implementation of relevant requirements and processes with clear responsibilities. 
Moreover, MaRisk Compliance & Banking Regulation constitutes the centrally responsible unit for monitoring the framework established to manage the risk of violations against human rights along supply chains as required by the German Act on Corporate Due Diligence Obligations in Supply Chains (Lieferkettensorgfaltspflichtengesetz). 
As part of Group Compliance, you will contribute to mitigate the risk of violations against human rights along supply chains by assessing implemented due diligence measures. Additionally, you will identify new Compliance trends and assess the necessity for further involvement of Group Compliance in dedicated topics to ensure an adequate mitigation of non-compliance risks. You will act as first point of contact for various group entities and areas affected by changes in regulatory requirements and support them in managing the day-to-day fulfilment of currently applicable and newly arising regulatory obligations.
 

Your responsibilities:

As a Compliance Officer, you will 

• be responsible for assessing the appropriateness and effectiveness of human rights-related due diligence measures implemented in accordance with Section 4 (3) of the Act on Corporate Due Diligence Obligations in Supply Chains through execution of monitoring and control activities,
• act as a first point of contact for various group entities, bodies and areas affected by the Act on Corporate Due Diligence Obligations in Supply Chains,
• govern the dialogue with different internal stakeholders and assure necessary reporting to the Human Rights Officer as well as to the executive management of Deutsche Börse Group, 
• plan, execute, and document monitoring and control activities related to the implemented processes and provisions in compliance with the Act on Corporate Due Diligence Obligations in Supply Chains as well as communicate results to affected areas and management,
• support in deriving due diligence measures, including preventive and corrective measures, as considered necessary to appropriately manage risks considered insufficiently covered,
• report regularly to relevant stakeholders, including senior management and Executive / Supervisory board of Deutsche Börse Group on the fulfilment of due diligence obligations and performed activities associated therewith and
• additionally, you will perform impact analyses of new and emerging regulatory requirements, whereas you will support the group-wide identification of implementing responsibility and take additional compliance related tasks as required

Your profile:

• University degree in compliance, law, business administration or economics
• Minimum of 4 years of relevant professional work experience in the field of compliance 
• Profound knowledge of relevant of ESG- and CSR-related requirements as well as of relevant regulatory legislations and requirements for financial sector companies 
• Strong writing, conceptual and methodological skills
• Ability to work in a team and in a matrix organisation within a multicultural and multi-location, international environment with high level of initiative, commitment, and motivation
• Exceptional communication and presentation skills, being able to adopt to different types of stakeholders
• Proficiency in written and spoken German and English is required 
• Dedication and flexibility as well as competent handling of MS Office applications