We are looking for a VP Compliance Officer with focus on Swap Dealership and Wholesale Compliance for a globally operating investment banking group based in Frankfurt am Main. In this role, you will take ownership of the specialized Swap Dealership and Compliance framework and act as the key architect for institutional outsourcing supervision (AT 9 MaRisk) within a highly sophisticated, global market environment.
Your tasks:
Managing and ensuring proper outsourcing supervision under German regulatory requirements (AT 9 MaRisk) for processes and controls performed by other global entities, including KPIs and annual risk assessments
Executing 2nd line compliance monitoring, gap analyses, and testing activities with a primary focus on Swap Dealer controls and rule requirements
Providing proactive compliance support, guidance, and advisory services to front office and infrastructure departments as well as the management board
Your Profile:
University degree in law, economics, or a comparable field, with a minimum of 5 years of relevant professional experience in a bank or a comparable financial services provider
At least 3 years of specific compliance or regulatory experience focusing on US Dodd-Frank Swap Dealer regulations (CFTC) and Title VII of the Dodd-Frank Act
Solid understanding of European and German financial legislation (MiFID, MaRisk, KWG) in the context of substituted compliance, alongside a strong grasp of the 3 Lines of Defense model
Proven experience in conducting 2nd line testing/monitoring or 3rd line audit testing, performing regulatory gap analyses, and managing regulatory change projects
Business fluent in English (written and verbal); good knowledge of German (B2+) is a strong asset
We aim to be an equal opportunity recruiter, and we are determined to ensure that no applicant receives less favorable treatment on the grounds of gender, age, disability, religion, belief, sexual opencv orientation, marital status, race, or race, or is disadvantaged by conditions or requirements.
