Part-time Specialist in Beauftragtenwesen / WpHG-Compliance (m/f/d)

Company description

Work where close is. As a cooperative employer, we stand for fairness, partnership and regional union – in dealing with our customers as well as in the team. As a specialist officer for assignments / WpHG-Compliance (m/w/d), you support the management in ensuring compliance with value paper regulatory requirements. With your technical expertise, your sense of responsibility and your view on regulatory requirements, you contribute to continuously developing our compliance processes and to expertly advise our departments.

Your duties Monitoring of WpHG compliance You monitor and evaluate the adequacy and effectiveness of the organisational arrangements for compliance with regulatory requirements on paper and support their continued development. Advice and support of the departments You advise and support the specialist areas in implementing regulatory requirements and are available as competent contact persons for questions relating to WpHG compliance. Controls and risk monitoring You carry out risk-oriented ex-post controls, analyze relevant customer complaints relevant to the supervision of securities and identify possible optimization potentials. Reporting and documentation You create the annual compliance report as well as regulatory reports for the management and document your findings carefully and comprehensible. Monitoring regulatory requirements You observe changes in legal and supervisory requirements, assess their impact on our house and accompany their implementation. Cooperation with internal functions You work closely with the departments and other control functions and contribute to the further development of a sustainable compliance culture in our house.

Your profile Successfully completed commercial training, ideally with bank-based training or comparable qualification Good knowledge in securities business and interest in regulatory and supervisory issues Analytical and structured way of thinking and careful working Responsibility, reliability and high self-initiative Communication strength and ability to consult and cooperate Joy in cooperation with different disciplines and in the further development of internal processes

Apply now

Company description

Work where close is. As a cooperative employer, we stand for fairness, partnership and regional union – in dealing with our customers as well as in the team. As a specialist officer for assignments / WpHG-Compliance (m/w/d), you support the management in ensuring compliance with value paper regulatory requirements. With your technical expertise, your sense of responsibility and your view on regulatory requirements, you contribute to continuously developing our compliance processes and to expertly advise our departments.

Your duties Monitoring of WpHG compliance You monitor and evaluate the adequacy and effectiveness of the organisational arrangements for compliance with regulatory requirements on paper and support their continued development. Advice and support of the departments You advise and support the specialist areas in implementing regulatory requirements and are available as competent contact persons for questions relating to WpHG compliance. Controls and risk monitoring You carry out risk-oriented ex-post controls, analyze relevant customer complaints relevant to the supervision of securities and identify possible optimization potentials. Reporting and documentation You create the annual compliance report as well as regulatory reports for the management and document your findings carefully and comprehensible. Monitoring regulatory requirements You observe changes in legal and supervisory requirements, assess their impact on our house and accompany their implementation. Cooperation with internal functions You work closely with the departments and other control functions and contribute to the further development of a sustainable compliance culture in our house.

Your profile Successfully completed commercial training, ideally with bank-based training or comparable qualification Good knowledge in securities business and interest in regulatory and supervisory issues Analytical and structured way of thinking and careful working Responsibility, reliability and high self-initiative Communication strength and ability to consult and cooperate Joy in cooperation with different disciplines and in the further development of internal processes

Apply now