Deutsche Börse Group
Compliance Officer – Securities Compliance(m/w/x)
Full-timeOn-siteExperienced
Frankfurt am Main
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NONomura Holdings, inc.
Compliance Officer Wholesale and Regulatory Compliance - Vice President(m/w/x)
Frankfurt am Main
Full-timeOn-siteExperienced
Nejo AI Summary
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.
Requirements
- 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
Tasks
- 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
Work Experience
- approx. 1 - 4 years
Education
- Vocational certificationOR
- Bachelor's degree
Languages
- English – Business Fluent
- German – Business Fluent
Tools & Technologies
- Microsoft Office
- Excel
- Power Point
Find the original job posting in its most current version here. Nejo automatically captured this job from the website of Nomura Holdings, inc. and processed the information on Nejo with the help of AI for you. Despite careful analysis, some information may be incomplete or inaccurate. Please always verify all details in the original posting! Content and copyrights of the original posting belong to the advertising company.
Not a perfect match?
- Deutsche Börse
Compliance Officer - Securities Compliance(m/w/x)
Full-timeTemporary contractOn-siteExperiencedFrankfurt am Main - Rothschild & Co
Compliance Co-ordinator(m/w/x)
Full-timeOn-siteNot specifiedFrankfurt am Main - Nomura Financial Products Europe (NFPE)
Liquidity Manager - Vice President(m/w/x)
Full-timeOn-siteSeniorFrankfurt am Main - WELLINGTON MANAGEMENT
Senior Compliance Analyst, EMEA(m/w/x)
Full-timeOn-siteSeniorFrankfurt am Main
NONomura Holdings, inc.
Compliance Officer Wholesale and Regulatory Compliance - Vice President(m/w/x)
Frankfurt am Main
Full-timeOn-siteExperienced
Nejo AI Summary
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.
Requirements
- 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
Tasks
- 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
Work Experience
- approx. 1 - 4 years
Education
- Vocational certificationOR
- Bachelor's degree
Languages
- English – Business Fluent
- German – Business Fluent
Tools & Technologies
- Microsoft Office
- Excel
- Power Point
Find the original job posting in its most current version here. Nejo automatically captured this job from the website of Nomura Holdings, inc. and processed the information on Nejo with the help of AI for you. Despite careful analysis, some information may be incomplete or inaccurate. Please always verify all details in the original posting! Content and copyrights of the original posting belong to the advertising company.
About the Company
Nomura Holdings, inc.
Industry
FinancialServices
Description
Nomura is a global financial services group providing solutions to individuals, institutions, and governments since 1925.
Not a perfect match?
- Deutsche Börse Group
Compliance Officer – Securities Compliance(m/w/x)
Full-timeOn-siteExperiencedFrankfurt am Main - Deutsche Börse
Compliance Officer - Securities Compliance(m/w/x)
Full-timeTemporary contractOn-siteExperiencedFrankfurt am Main - Rothschild & Co
Compliance Co-ordinator(m/w/x)
Full-timeOn-siteNot specifiedFrankfurt am Main - Nomura Financial Products Europe (NFPE)
Liquidity Manager - Vice President(m/w/x)
Full-timeOn-siteSeniorFrankfurt am Main - WELLINGTON MANAGEMENT
Senior Compliance Analyst, EMEA(m/w/x)
Full-timeOn-siteSeniorFrankfurt am Main