Head of Compliance

bei ESG Book
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#Sustainability

#Finance

#Esginformations

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Head of Compliance

Frankfurt, Hessen, Germany Legal and Compliance Full time

Description

Arabesque Group

Arabesque specializes in making sustainability, corporate responsibility, and ESG mainstream.

Arabesque was founded in 2013 as a management buy-out from Barclays Bank Plc, and its story is one of partnership between leaders in finance, mathematics, and sustainability, working together to develop the next generation of sustainable asset management and data.

Arabesque’s businesses are:

  • Asset Management: a sustainable and quantitative investment management business using self-learning quantitative models.
  • ESG Book: dedicated and wide range of cloud-based sustainability products and solutions used by many of the world's leading financial organisations which collectively manage over $120 trillion.
  • Artificial Intelligence: a dedicated AI research business developing AI and big data capabilities for financial services.

We are constantly researching new frontiers and business opportunities in sustainability, finance, AI, and machine-learning.

Arabesque has offices in London, Frankfurt, Boston, Tokyo, India and Singapore.

Compliance Team

The role holder will be responsible for a wide range of tasks. You will be able to handle day to day work independently but will be supported on new projects or assignments.

Your role will involve:

  • Developing and overseeing control systems to prevent or deal with violations of legal guidelines and internal policies.
  • Evaluating the efficiency of controls and improve them continuously.
  • Revising procedures, reports etc. periodically to identify hidden risks or non-conformity issues.
  • Holding a relationship with and reporting to BaFin as/when necessary.
  • Drafting, modifying, and implementing company policies.
  • Collaborating with corporate counsels and HR departments to monitor enforcement of standards and regulations.
  • Assessing the business future ventures/products to identify possible compliance risks.
  • Reviewing the work of colleagues when necessary to identify compliance issues and providing advice or training.
  • Keeping abreast of regulatory developments within or outside of the company as well as evolving best practices in compliance control.
  • Preparing reports for senior management and external regulatory bodies as appropriate.
  • Reporting directly and efficiently into the Head of Compliance in the London office.

Requirements

  • Proven experience a within a Compliance role (officer/manager).
  • Experience within the Financial Services or FinTech industry (Asset Management, Investment, Hedge Fund, Capital Markets, Venture Capital, etc.).
  • Awareness of UK FCAs framework.
  • In-depth knowledge of the BaFin regulations and standards.
  • You are methodical and diligent with outstanding planning abilities.
  • Excellent communication skills – great written and spoken English.
  • Degree educated (a legal background/degree is beneficial).

Ideal Candidate:

  • 4+ years within Compliance Officer role.
  • Experience within an SME.
  • Confident working in a ‘standalone’ capacity, reporting directly into the Head of Compliance EMEA.
  • Holds a positive relationship with BaFin.
  • Keen interest and passion for sustainability.
  • True generalist compliance experience.
  • Fluent in both German and English (written and spoken).

Benefits

What To Expect

  • Expect to advance your understanding of sustainable finance, meet thoughtful people across different fields of expertise.
  • Expect a work environment that is not based on bureaucracy and formalities, but on integrity, ambition, and the expectation that everyone is delivering to the best of their abilities.
  • An entrepreneurial culture where a personal sense of responsibility, independence, and project ownership is highly encouraged.

Equal Opportunities

Arabesque is an equal opportunity employer, and all qualified applicants will be afforded equal employment opportunities without discrimination because of actual or perceived race, color, national origin, sex, age, religion, creed, disability, marital status, citizenship, ancestry, personal appearance, sexual orientation, gender identity or expression, political affiliation, military status, status as a protected veteran, genetic information, or any other legally protected status.

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