Compliance & Controls Officer DBAG in Frankfurt am Main bei Deutsche Börse

Your area of work:

The Group Compliance Function works in close coordination with the individual business units and other group control functions to ensure compliance with national and international laws and regulations applicable to various units of the Deutsche Börse Group and its business activities. The Compliance Function has a proactive role in the identification of possible compliance or reputational risks, including those that may arise in connection with new activities and products. Compliance defines group-wide compliance policies, supports their consistent application within the group entities, and provides centralized services 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. To ensure the execution of 2nd Line of Defence controls, Group Compliance established a Control Framework to support, define and implement group-wide standards in this regard.

Your responsibilities:

• In this role you will continuously strengthen the existing Compliance methodology for control management
• Perform, coordinate and structure internal/external controls according to the Group Compliance mandate.
• You will ensure and coordinate comprehensive communication between internal business lines and other control functions and Group Compliance
• In addition, you will support yearly compliance control planning and ensure timely and adequate reporting and (ad-hoc) escalation
• You will review compliance relevant audit reports and will be responsible for tracking / follow-up of findings and remediation actions
• Furthermore, you will support continuous improvement and optimisation of compliance processes and procedures
• In addition, you will also support the team in coordinating current internal / external audits and preparing reports as well as with administrative issues including data collection, status update related to open findings
• Creation of a risk-based IT compliance control plan and related control execution.

Your profile:

• You have completed your university degree in in economics, finance or law or you have a relevant comparable qualification
• You have at least 2 years of relevant professional experience in audit or control functions and control testing
• Proficiency in written and spoken English; German language skills will be an asset
• Experience in the execution of LoD controls
• Understanding of the relevant legal and regulatory compliance requirements and associated risks
• You have strong analytical skills and attention to detail as well as organisational and negotiation skills, including the ability to present complex matters in a clear and comprehensive way
• Dedication, team and communications skills, flexibility as well as competent handling of MS Office applications round out your profile.
• You will be trained on the job in relevant laws applicable for DBAG
• Strong individual initiative, high level commitment and motivation

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