Compliance Manager (w/m)
Main responsibilities
- Implementation of Group compliance instructions
- Set up and follow-up of action plans with regards to non compliance risks
- Implementation of Compliance Risk Assessment
- Assistance in producing the Compliance reports for the Regulator
- Active contribution in regulatory projects such as FATCA or AIFM
- preparation of monthly Compliance reports and communication to SG Paris Compliance departments
- Support in AML and KYC related matters with regards to §7 GWG
- AML and Compliance training to the staff
- the implementation of normative controls defined by the Group and preparation of analyses for the SGSS D KAG Compliance Officer
- the implementation of a Compliance Risk Assessment for SGSS D KAG
- checks and analyses of data available in the Group tools (IMPACT, MOKA, CAROLINE, OPERA, etc.) and communication to the Compliance Officers for further analysis / decision
- controls of personal staff transactions and production of appropriate report for decision
These tasks are concerning Depotbank activities (SG Frankfurt) as well as SGSS KAG (Munich) with some differentiations due to outsourcing constraints or local organization of competencies.
Experience and technical skills
- Lawyer or Banking expert
- A minimum of 3 years experience in the financial industry
- fluent English and German
- Knowledge and understanding of German Compliance
- A sound working knowledge and understanding of custody and traditional alternative investment fund administration
- A full appreciation of the German and non German fund regulatory environment - especially as the regulations apply to custodian and Depotbank
- KYC and AML knowledge
Personal Abilities/ Competencies
- Excellent communication skills, both written and oral
- Good presentation skills
- Ability to work with different business lines and locations
- Independent and organized
- Cooperation team spirit
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