VP Compliance Officer

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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 filing annual Swap Dealer reports, handling US and German regulatory inquiries, and supporting registrations, examinations, and filings
• Ensuring that all rules and regulations applicable to the entity as a CFTC registrant and NFA member are fully overseen from a 2nd line of defense perspective, as well as tracking US OTC derivatives regulatory changes

• 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.