Deutsche Börse Group
Compliance Officer – Securities Compliance(m/w/x)
Vollzeitnur vor OrtBerufserfahren
Frankfurt am Main
Neuer Job?Nejo!
Dein persönlicher KI-Karriere-Agent
NONomura Holdings, inc.
Compliance Officer Wholesale and Regulatory Compliance - Vice President(m/w/x)
Frankfurt am Main
VollzeitVor OrtBerufserfahren
Nejo KI-Zusammenfassung
Managing daily compliance operations and conducting reviews for global financial services. Profound knowledge of investment banking products and regulations required. Hybrid work, advisory services for front office and infrastructure departments.
Anforderungen
- Studies in law, economics, or similar; professional education and relevant experience
- Strong relevant professional experience
- Good written and verbal communication skills
- Profound knowledge in Global Market and Investment Banking products, processes, and regulatory requirements
- Self-starter, solution-oriented, good organizational skills
- Proactive work individually and in team, taking responsibility for results
- Strong analytical skills
- Ability to deliver against different timelines
- Experience driving regulatory process improvements and change
Aufgaben
- Manage daily compliance program operations
- Conduct periodic compliance reviews
- Provide compliance reports
- Offer compliance advisory services to front office and infrastructure departments
- Advise management board on compliance matters
- Establish and enhance risk analysis and control framework
- Support business units in identifying and managing regulatory risks
- Protect NFPE, its reputation, and investors
- Liaise with branches and EMEA stakeholders on compliance topics
- Execute compliance monitoring and testing activities
- Identify and report compliance issues and exposures
- Drive resolution of compliance monitoring report recommendations
- Undertake compliance audits and risk assessments
- Prepare regulatory registrations and reports
- Maintain compliance policies and registers
- Deliver compliance training to staff
- Coordinate with Registration and Trade Surveillance Departments
- Complete Due Diligence Questionnaires and regulatory documents
- Implement Sec. AT4.4.2 MaRisk requirements
- Develop solutions for regulatory compliance
- Consider cross-connections to other regulatory requirements
- Liaise with other divisions to implement German regulatory developments
- Conduct gap analysis of regulatory requirements
- Contribute to Nomura's protection and risk management
- Support specific business areas in regulatory and marketing risks
Berufserfahrung
- ca. 1 - 4 Jahre
Ausbildung
- Abgeschlossene BerufsausbildungODER
- Bachelor-Abschluss
Sprachen
- Englisch – verhandlungssicher
- Deutsch – verhandlungssicher
Tools & Technologien
- Microsoft Office
- Excel
- Power Point
Die Originalanzeige dieses Stellenangebotes in der aktuellsten Version findest du hier. Nejo hat diesen Job automatisch von der Website des Unternehmens Nomura Holdings, inc. erfasst und die Informationen auf Nejo mit Hilfe von KI für dich aufbereitet. Trotz sorgfältiger Analyse können einzelne Informationen unvollständig oder ungenau sein. Bitte prüfe immer alle Angaben in der Originalanzeige! Inhalte und Urheberrechte der Originalanzeige liegen beim ausschreibenden Unternehmen.
Noch nicht perfekt?
- Deutsche Börse
Compliance Officer - Securities Compliance(m/w/x)
VollzeitBefristeter Vertragnur vor OrtBerufserfahrenFrankfurt am Main - Rothschild & Co
Compliance Co-ordinator(m/w/x)
Vollzeitnur vor OrtKeine AngabeFrankfurt am Main - Nomura Financial Products Europe (NFPE)
Liquidity Manager - Vice President(m/w/x)
Vollzeitnur vor OrtSeniorFrankfurt am Main - WELLINGTON MANAGEMENT
Senior Compliance Analyst, EMEA(m/w/x)
Vollzeitnur vor OrtSeniorFrankfurt am Main
NONomura Holdings, inc.
Compliance Officer Wholesale and Regulatory Compliance - Vice President(m/w/x)
Frankfurt am Main
VollzeitVor OrtBerufserfahren
Nejo KI-Zusammenfassung
Managing daily compliance operations and conducting reviews for global financial services. Profound knowledge of investment banking products and regulations required. Hybrid work, advisory services for front office and infrastructure departments.
Anforderungen
- Studies in law, economics, or similar; professional education and relevant experience
- Strong relevant professional experience
- Good written and verbal communication skills
- Profound knowledge in Global Market and Investment Banking products, processes, and regulatory requirements
- Self-starter, solution-oriented, good organizational skills
- Proactive work individually and in team, taking responsibility for results
- Strong analytical skills
- Ability to deliver against different timelines
- Experience driving regulatory process improvements and change
Aufgaben
- Manage daily compliance program operations
- Conduct periodic compliance reviews
- Provide compliance reports
- Offer compliance advisory services to front office and infrastructure departments
- Advise management board on compliance matters
- Establish and enhance risk analysis and control framework
- Support business units in identifying and managing regulatory risks
- Protect NFPE, its reputation, and investors
- Liaise with branches and EMEA stakeholders on compliance topics
- Execute compliance monitoring and testing activities
- Identify and report compliance issues and exposures
- Drive resolution of compliance monitoring report recommendations
- Undertake compliance audits and risk assessments
- Prepare regulatory registrations and reports
- Maintain compliance policies and registers
- Deliver compliance training to staff
- Coordinate with Registration and Trade Surveillance Departments
- Complete Due Diligence Questionnaires and regulatory documents
- Implement Sec. AT4.4.2 MaRisk requirements
- Develop solutions for regulatory compliance
- Consider cross-connections to other regulatory requirements
- Liaise with other divisions to implement German regulatory developments
- Conduct gap analysis of regulatory requirements
- Contribute to Nomura's protection and risk management
- Support specific business areas in regulatory and marketing risks
Berufserfahrung
- ca. 1 - 4 Jahre
Ausbildung
- Abgeschlossene BerufsausbildungODER
- Bachelor-Abschluss
Sprachen
- Englisch – verhandlungssicher
- Deutsch – verhandlungssicher
Tools & Technologien
- Microsoft Office
- Excel
- Power Point
Die Originalanzeige dieses Stellenangebotes in der aktuellsten Version findest du hier. Nejo hat diesen Job automatisch von der Website des Unternehmens Nomura Holdings, inc. erfasst und die Informationen auf Nejo mit Hilfe von KI für dich aufbereitet. Trotz sorgfältiger Analyse können einzelne Informationen unvollständig oder ungenau sein. Bitte prüfe immer alle Angaben in der Originalanzeige! Inhalte und Urheberrechte der Originalanzeige liegen beim ausschreibenden Unternehmen.
Über das Unternehmen
Nomura Holdings, inc.
Branche
FinancialServices
Beschreibung
Nomura is a global financial services group providing solutions to individuals, institutions, and governments since 1925.
Noch nicht perfekt?
- Deutsche Börse Group
Compliance Officer – Securities Compliance(m/w/x)
Vollzeitnur vor OrtBerufserfahrenFrankfurt am Main - Deutsche Börse
Compliance Officer - Securities Compliance(m/w/x)
VollzeitBefristeter Vertragnur vor OrtBerufserfahrenFrankfurt am Main - Rothschild & Co
Compliance Co-ordinator(m/w/x)
Vollzeitnur vor OrtKeine AngabeFrankfurt am Main - Nomura Financial Products Europe (NFPE)
Liquidity Manager - Vice President(m/w/x)
Vollzeitnur vor OrtSeniorFrankfurt am Main - WELLINGTON MANAGEMENT
Senior Compliance Analyst, EMEA(m/w/x)
Vollzeitnur vor OrtSeniorFrankfurt am Main