Senior Compliance Analyst
- Competitive and commensurate with credentials and experience
- Frankfurt am Main, Hessen, Deutschland Frankfurt am Main Hessen DE
- Festanstellung, Vollzeit
- 22 Jun 18 2018-06-22
The Senior Compliance Analyst will provide regulatory advice and compliance support for all European legal entities of a global asset management business in Germany, Ireland, Netherlands, Spain, and Switzerland.
Essential Duties and Responsibilities
Includes the following, other duties may be assigned as needed:
• Provide cross border distribution oversight, sales intermediaries oversight and related training
to sales and marketing departments
• Conduct review of marketing materials to ensure compliance with applicable laws
• Monitor and support implementation of Regulatory Developments (UCITS, MiFiD, GDPR)
• Assist with audits, questionnaires and other communication with regulators
• Provide vendor oversight and due diligence reviews of Custodians, Transfer Agents,
• Serve as Anti Money Laundering Reporting Officer for all European legal entities, applying
European Anti Money Laundering Directives and Regulations
To perform this job successfully, an individual must be able to perform each essential duty
This job has no supervisory responsibilities at this time.
• Significant experience working within the asset management industry
• Knowledge of the upcoming regulatory changes in relation to the activities of Asset Managers
• Knowledge of European Anti Money Laundering Directives and Regulations
• Experience with processes and procedures for Asset Managers at regulatory bodies in Europe
• Strong verbal and written communication skills in German and English
• Ability to interact effectively with all levels of staff, clients, and regulators
• Demonstrated ability to work effectively in a team-oriented environment.
Education and/or Experience
• Bachelor’s degree or its equivalent in Business, Finance, Law, or a related field of study
• Minimum of 5 years administering a compliance program within asset management
To perform the job successfully, an individual should demonstrate the following competencies:
• Capacity for learning new procedures/ideas
• Motivation and Enthusiasm
• Ability to work independently and take initiative
• Ability to spot issues and advise on resolutions
• Ability to multi-task
To be considered for this position, please submit a resume to EUcareers@vaneck.com.
In the subject of the email, please include the title of the position.