Capital2mo ago

Compliance & AML Officer (German Branch)

Germany·Frankfurt am Mainmid

Legal & ComplianceOtherCompliance SpecialistOfficer

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Quick Summary

Overview

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We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talented team.

We are looking for a Compliance & AML Officer who will be accountable for the design, implementation, and ongoing oversight of both the regulatory compliance and AML/CTF frameworks for the German Branch. The role carries dual responsibility: ensuring full adherence to MiFID II/MiFIR and BaFIN conduct and organisational requirements as applied in Germany, and maintaining a robust AML/CTF programme aligned with German AML regulations, EU requirements, and group standards.

Requirements

~1 min read

Act as the designated Compliance Officer (CO) under German regulatory requirements and MiFID II organisational obligations.

Design and maintain the compliance monitoring programme.

Monitor and ensure adherence to BaFIN and ESMA regulations.

Review financial promotions, marketing materials, and client communications for compliance with applicable rules.

Maintain the compliance risk register and prepare periodic compliance monitoring reports for senior management.

Act as the appointed Anti-Money Laundering Officer (AMLCO) under German regulatory requirements

Develop, implement, and maintain AML/CTF policies, procedures, and controls.

Ensure effective customer due diligence (CDD), enhanced due diligence (EDD), transaction monitoring, and suspicious activity reporting (SAR).

Oversee AML risk assessments and ensure alignment with the firm’s risk appetite.

Serve as the primary point of contact with BaFin and FIU Germany on AML/CTF matters.

Ensure compliance with German AML Act (GwG), EU AML Directives, and applicable EBA/ESMA guidelines.

Lead regulatory reporting, audits, and inspections related to compliance and/or financial crime.

Provide regular reporting to senior management and the board on compliance AML risks and controls.

Advise senior management on Compliance and AML/CTF risks, regulatory developments, and control enhancements.

Ensure effective escalation of Compliance and financial crime risks and incidents.

Develop Compliance and deliver AML/CTF training programs across the Germany entity.

Promote a strong compliance culture and awareness of Compliance and financial crime risks.

Collaborate with group Compliance, Risk, Legal, and Operations to ensure consistent application of regulatory compliance and AML standards.

Align local AML practices with group frameworks while meeting German-specific requirements.

Proven experience as Regulatory Compliance Officer and/or AMLCO or senior AML function holder in Germany within a regulated financial services firm.

Strong knowledge of MiFID II/MiFIR and BaFin applicable regulations.

Deep knowledge of German AML law (GwG), BaFin expectations, and EU AML framework.

Strong understanding of brokerage/trading or fintech business models.

Experience dealing directly with regulators (including BaFin) and FIUs.

Strong analytical, judgment, and stakeholder management skills.

Fluency in German and English.

• Competitive Salary: We believe great work deserves great pay! Your skills and talents will be rewarded with a salary that makes you feel valued and motivated.

• Work-Life Harmony: Join a company that genuinely cares about you - because your life outside of work matters just as much as your time on the clock. #LI-Hybrid

• Generous Time Off: Need a breather? Our annual leave policy lets you recharge and enjoy life outside of work without a worry.

• Employee Referral Program: Love working here? Share the love! Bring your talented friends on board and get rewarded for growing our awesome team.

• Comprehensive Health & Pension Benefits: From medical insurance to pension plans, we’ve got your back. Plus, location-specific benefits and perks!

• Workation Wonderland: Live your digital nomad dreams with 30 extra days to work remotely from anywhere in the world (some restrictions apply). Adventure awaits!

• Volunteer Days: Make a difference! Take two additional paid days each year to support causes you care about and give back to the community.

Be a key player at the forefront of the digital assets movement, propelling your career to new heights! Join a dynamic and rapidly expanding company that values and rewards talent, initiative, and creativity. Work alongside one of the most brilliant teams in the industry.