Compliance Officer Investigations
- Frankfurt am Main, Hessen, Germany
- Permanent, Full time
- Deutsche Börse AG
- 22 Aug 17
The Compliance Function works in close coordination with the individual business units and other group control functions to ensure adherence to national and international laws and regulations applicable to various components of the Deutsche Börse Group ...
Deutsche Börse AG opens up international capital markets for its customers. Its product and service portfolio covers the entire process chain from securities and derivatives trading through the settlement of transactions and provision of market information to the development and operation of electronic trading systems. With its process-oriented business model, Deutsche Börse increases the efficiency of capital markets. Committed employees are the key factor for innovation and further growth: Without them Deutsche Börse Group would not have developed into one of the most modern exchange organisations in the world. More than 5,300 employees work for the Group - a dynamic, motivated and international team.
The Compliance Function works in close coordination with the individual business units and other group control functions to ensure adherence to national and international laws and regulations applicable to various components of the Deutsche Börse Group and all their areas of activity. Compliance defines group-wide compliance policies, supports their consistent application across group entities, and provides centralised services in areas including the prevention of money laundering and terrorist financing, international financial sanctions, anti-corruption; data protection, and the prevention of conflicts of interest and related securities law requirements. Members of the Compliance Function will not only gain experience with various Compliance responsibilities, but also have exposure to a broad range of global financial activities.
• Proactively - from assignment to completion - conduct and support internal investigations relating to compliance with applicable laws and regulations, particularly examining allegations of criminal activities and conduct, focussing on market abuse, conflict of interest and financial crime, as well as potential breaches of internal policies and pro-cedures deriving e.g. from monitoring or controls, ad hoc issues or by means of whistleblowing.
• Work independently and collaboratively with other stakeholders, ensuring that necessary support is provided, on time sensitive situations.
• Obtain, utilise and appropriately disseminate records, information and intelligence regarding the suspicious activi-ties.
• Suggest sound decisions and document case and decisions accurately. Follow up any findings and support mitigat-ing measures to sustainably reduce risk exposure.
• Take over other Compliance tasks, i.e. to ensure reasonable deputation or to support other Compliance staff
• Applicants with professional experience
• University degree in economics or law or a relevant comparable qualification (e.g. within Audit, Risk, Compliance or other investigative functions) with at least 2 years of relevant practical experience
• Sensitive, but insistent approach to investigations with attention to detail and the ability to present complex and sensitive matters in a clear and comprehensive way
• Organizational skills to ensure accurate and complete documentation of decision making
• Strong analytical skills including the ability to manage, examine and investigate large quantities of information / exhibits / data
• Strong individual initiative, high level commitment and motivation
• Proficiency in written and spoken German and English is required
Reference number: 50024206