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Compliance Specialist m/w/d

Details des Angebots

Allgemeine Informationen


Die zur Crédit Agricole und Santander gehörende Bankengruppe CACEIS bietet Asset Servicing für Asset Manager, Versicherungsunternehmen, Pensionsfonds, Banken, Private Equity und Immobilienfonds, Broker und Geschäftskunden an.

In den Vertretungen in ganz Europa, Nord- und Südamerika und Asien offeriert CACEIS ein umfangreiches Angebot von Leistungen und Produkten wie etwa Trade Execution, Clearing, Devisen-Services, Wertpapierleihe, Custody Services, Verwahrstellen- und Fondsadministrations-Services, Fonds-Distributions-Support, Middle-Office Outsourcing sowie Emittenten-Services.

Mit 7 000 Mitarbeitern und einem breiten Kundenportfolio ist CACEIS ein führender Anbieter für Asset Servicing in Europa und einer der größten Provider weltweit.



Datum der Veröffentlichung


Beschreibung der Stelle


Berufe - Operations


Compliance Specialist m/w/d


Unbefristeter Vertrag

Geplantes Eintrittsdatum





  • Provide Compliance advise as regards matters concerning Financial Security (FS) and Fraud Prevention / Anti-corruption (FP).
  • Ensure that business policies & operational procedures embed the group & local regulatory requirements as relating to these matters. Monitor that such policies are reviewed on a periodic basis.
  • Provide training covering group & local regulatory aspects as relating to these matters. Ensure update / distribution of related compliance policies & procedures (e.g. Compliance manual, KYC/AML/CFT policy etc.)
  • Review & approve KYC requests involving high risk clients or those having Financial Security triggers.
  • Regulatory watch: Keep track of and disseminate timely advise on new / changing regulations concerning FS, FP as issued by EU and Germany. & applicable from a group perspective as well. In this regard, contribute towards maintenance of an effective tracker on regulatory actionable/s and ensure effective follow up with stakeholders for implementation.
  • Fulfill the compliance monitoring / surveillance & reporting requirements (mainly relating to matters concerning FS and FP) under various group policies & local regulatory guidelines.
  • Ensure tracking & timely submission of reports, returns, correspondences etc. to HO and local regulators. Contribute effectively towards adequate preparation and presentation of periodic compliance reporting.

Einsatzort der Stelle

Standort der Stelle

Europa, Deutschland





Bachelor-Abschluss oder gleichwertig

Akademische Ausbildung / Spezialisierung

  • Experience in developing and implementing gathering, reviewing, investigating and analyzing data and responding to Compliance related regulatory inquiries


6-10 Jahre


  • Experience in banking
  • Experience in the fund industry is a plus
  • Experience with an international financial organization is a plus

Erforderliche Kompetenzen

  • Strong analytical, problem-solving and organizational skills: able to break down complex problems into manageable units while developing solutions
  • Capable of leading multiple, simultaneous and various ad-hoc requests
  • Awareness of regulatory rules and requirements including local and EU laws, international and industry standards
  • Overseeing and maintaining the monitoring risk policies and procedures
  • Result oriented: setting goals and priorities that maximize the use of resources available to consistently deliver quality results

  • Confidence in taking responsibility and resolving problems with strong influencing and negotiating skills while recognizing the need to work with colleagues and to seek guidance if necessary; a hands on approach that extends to taking practical initiatives as necessary to drive issues forward

  • Excellent verbal, written and presentation skills with the ability to interact with stakeholders at all levels within the organization


  • Good MS Office skills


- Fluent in business English and basic level in German with interest in advancement