Senior Legal Compliance Counsel

  • Location: Frankfurt, Germany
  • Salary: Competitive
  • Organization: Legal Services Company

Compliance is seeking a Director to spearhead the Investment Advisor Compliance Programs. This role will be primarily responsible for helping the firm comply with providing regulatory guidance to business partners as necessary.

Key Responsibilities:

  • Maintain and enhance all aspects of the Investment Advisor Compliance Programs for the affiliates
  • Devise and update program plans related to advisors
  • Coordinate regulatory filings
  • Maintain and revise the  Code of Ethics for each entity as appropriate
  • Develop and coordinate with the  Compliance group relating to various reporting responsibilities
  • Coordinate with the Investment Advisory Compliance Testing Program, including reviewed and approving test plans
  • Develop and maintain Compliance policies and procedures
  • Participate in the annual Compliance Risk Assessment process in accordance with corporate standards
  • Execute other duties as assigned by the Managing Director, including, but not limited to regulatory guidance and support for investment advisory offers and other project work

Your Profile:

  • 5-10 years compliance experience, with 3-5 years Investment Compliance regulatory experience
  • Proficiency in Microsoft Office Programs (Word, PowerPoint, Excel)
  • Project and team management skills and the ability to organize & process large amounts of data/information
  • German and English languages at the professional level

What you’ll get:

  • Comprehensive Compensation and Benefits package
  • Financial Health Plan
  • Work/Life Balance: Sabbatical, Paid Parental Leave, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer, Employee Matching Gifts Program
  • Everyday Wellness: Health and Lifestyle Wellness Rewards, Onsite Fitness Classes, Healthy Food Choices, Wellness Champions
  • Inclusion: Employee Resource Groups, Commitment to diversity, Strategic partnerships
  • Not just a job, but a career, with an opportunity to do the best work of your life
All Risk Management, Audit & Control vacancies

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