Senior Capital Markets Compliance Officer

Senior Capital Markets Compliance Officer

Our client is a leading financial corporation in the austrian market. Currently they are serving 16 million customers in 13 CEE countries. To support their dynamic, growing team in Vienna we are searching for an experienced personality as:

Senior Capital Markets Compliance Officer (m/w/d)



What you can expect:

  • Analyzing regulatory requirements on investor protection and market conduct and developing smart implementation approaches with an end-to-end view to ensure regulatory compliance
  • Providing guidance to the Markets & Investment Banking Division on applicable policies and regulatory requirements on investor protection and market conduct
  • Monitoring compliance with investor protection and market conduct rules (best execution, product governance, conflicts of interest, inducements, etc.)
  • Performing market abuse prevention controls in the companies Compliance systems (e.g. market abuse alert handling) and ensuring that unusual or suspicious transactions are
  • appropriately identified, documented, and suspicious transaction and order reports are filed
  • Managing complex cases involving matters such as multiple relationship accounts (related parties), tiered and multi-faceted transactions and international transactions
  • Supporting the development of compliance trainings programs and conducting trainings
  • Performing group steering activities, participating in group-wide projects and initiatives, analyzing reports of the Group entities and conducting onsite visits to assess local implementation of group-wide standards, policies and processes
  • Willingness to travel in Austria and abroad (esp. subsidiaries and branch offices in CEE/SEE)
  • Cooperating with regulatory and law enforcement authorities (e.g. preparation of suspicious transaction and order reports, handling information requests)
  • Driving continuous development and improvement of Compliance processes and Compliance IT system in line with evolving market standards and based on latest technologies (AI, machine learning, RPA, etc)

What you bring to the table:

  • University degree in law, economics or comparable subject or significant professional experience in the financial industry
  • Minimum 5 years of experience in a compliance department of a financial institution or with a financial market regulator with a focus on market conduct, investor protection or market abuse prevention
  • In-depth understanding of financial markets, characteristics of financial instruments and trading processes
  • Experience with analytical, data driven approaches, especially statistical/AI models of advantage
  • Drive for and experience in innovation; Hands-on experience in adaptive approaches; a thinking ahead mentality, curiosity and eagerness to act in a highly demanding environment
  • Must be able to prioritize work and effectively manage time.
  • Team player, flexible and problem-solving personality, ability to work under pressure
  • Excellent English and German skills, knowledge of CEE/SEE-languages of advantage• Proficiency in MS applications (Excel, Power Point, Word) and PowerBI experience of advantage

What our client offers:

  • Join a dynamic and motivated team in one of the leading banking groups in Austria and
  • Central and Eastern Europe and grow within a dynamic, motivated and career-minded team
  • Work in a very international environment
  • Work on an independent level with the possibility to lead your own projects
  • State of the art learning and development opportunities
  • EUR 60.000 annual gross salary incl. overtime – additional payment according to skills and
  • experience

Wenn Sie an dieser herausfordernden Position Interesse haben, dann freuen wir uns über Ihre aussagekräftige Bewerbung unter der Kennnummer 86 467 bevorzugt über unser ISG-Karriereportal oder per eMail.

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