Compliance Advisor - South Lead Hill, United States - Stellar Enterprises

Stellar Enterprises
Stellar Enterprises
Verified Company
South Lead Hill, United States

3 weeks ago

Meredith Sinclair

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Meredith Sinclair

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Description

About the job

What You'll Do

Principal Asset Management is looking for a Compliance Advisor to join their Frankfurt office on a permanent basis. This role offers an opportunity to join a global asset manager and be part of the European compliance team responsible for our KVG business in Germany.

Here are some of the tasks you will be responsible for:

  • Develop and maintain a compliance framework and monitoring program to ensure effective and robust systems and controls are in place.
  • Manage communication and our relationship with BaFin.
  • Maintain compliance policies.
  • Assist in maintaining an effective compliance monitoring program and conduct regular reviews.
  • Review and approve marketing materials for the German businesses in accordance with regulatory requirements.
  • Understand relevant requirements and ensure clear responsibilities and plans are in place for AIFMD in each location.
  • Act as the point of contact for the external Data Protection Officer and MLRO.
  • Support the business with requests related to environmental, social, and corporate governance (ESG).

Who You Are

  • Knowledge of local regulatory requirements applicable to German KVGs.
  • Ability to interpret European regulatory laws applicable to AIFMs (such as