Be at the center of fast-moving Markets activity where timely, practical advice matters. You will help the business serve clients while meeting regulatory and control expectations across multiple jurisdictions.
As a Markets Compliance Officer (Associate) in Markets Compliance, you will provide real-time regulatory advice and Compliance support to Markets businesses, with a focus on listed derivatives and exchange-traded products, including German retail structured products (Zertifikate). You will partner closely with front and middle office teams to resolve time-critical queries, review surveillance outcomes, and respond to exchange requests. Your work will help protect the firm, support robust controls, and enable compliant business growth across developed and emerging jurisdictions.
Job Responsibilities
- Provide real-time regulatory advice and day-to-day Compliance support for listed derivatives and exchange-traded products, including Zertifikate
- Conduct monitoring activities across topics and products and document outcomes
- Respond to exchange queries and coordinate timely follow-up with relevant stakeholders
- Review surveillance alerts, assess risk, determine disposition, and escalate appropriately
- Interpret internal Compliance policies and procedures in response to ad hoc front and middle office enquiries
- Review intermediary due diligence in response to business queries and provide clear guidance
- Prepare and deliver business training, including coordinating annual refresher training
- Represent Markets Compliance in regional and global working groups and contribute to consistent approaches
- Participate in German trade association meetings and calls, contributing in German as required
- Support audits by preparing materials, translating auditor requests into actionable items, and validating evidence against German requirements (e.g., German Securities Trading Act and MaComp)
- Analyze proposed regulatory changes, assess business impact, and support implementation and remediation activities
Required qualifications, capabilities, and skills
- Strong academic background and/or demonstrable achievement in the financial industry
- Strong written and verbal communication and presentation skills in English
- Strong analytical skills and ability to understand and interpret regulatory and policy requirements
- Strong attention to detail and sound judgement under time pressure
- Strong team orientation with ability to work across multiple teams with ongoing inter-dependencies
- Ability to provide clear, practical guidance to stakeholders in a time-critical environment
Preferred qualifications, capabilities, and skills
- Experience in a Compliance, Risk, or controls role within an investment bank or similar environment
- Knowledge of Markets products, ideally listed derivatives, over-the-counter equity derivatives, and/or retail structured products
- Knowledge of applicable rules including MaComp, MaRisk, MiFID II, EMIR, MAR, and PRIIPs
- German language skills, particularly for trade association participation and local regulatory/audit topics
- Strong client/stakeholder handling skills with a proactive approach to problem-solving
