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WpHG Compliance Officer (m/w/d) - Larson Maddox

Larson MaddoxSulzbach🇩🇪GermanyPosted 27 Aug 2026

Why This Role Stands Out

This hybrid role offers a fantastic opportunity to enhance your expertise in a dynamic, technology-driven financial institution, contributing to robust compliance frameworks and shaping regulatory strategy. You'll thrive here if you possess strong knowledge of WpHG, MiFID II, and MAR, coupled with a proactive approach to navigating complex financial regulations. Apply now to join a reputable firm and advance your career in compliance.

Quick Overview

Seniority
Mid Senior
Employment type
Full Time
Work mode
Hybrid
Location
Sulzbach, Germany
Posted
5 days ago
Compliance

Job Description

Our client is a rapidly growing, technology-driven financial institution that combines innovative digital solutions with the regulatory standards of a fully licensed banking environment.


Key Responsibilities

  • Ensure compliance with applicable regulatory requirements governing investment services, including WpHG, MiFID II, MAR, PRIIPs, and other relevant regulations.
  • Support the ongoing development and enhancement of the Compliance Management System for securities-related activities.
  • Perform monitoring and control activities across key regulatory areas.
  • Draft, review, and maintain internal policies, procedures, and governance frameworks.
  • Advise business and product teams on securities compliance matters and regulatory implications of new initiatives.
  • Participate in product governance and approval processes, providing regulatory and compliance expertise.
  • Conduct Compliance Risk Assessments and investigate potential regulatory breaches, including market abuse and insider dealing concerns.
  • Prepare regulatory reports and notifications, including STOR submissions where required.
  • Deliver regular compliance reporting to senior management and governance committees.
  • Act as a key contact for regulatory inspections, audits, and reviews.


Candidate Profile

  • Degree in Law, Finance, Economics, Business Administration, or a related discipline.
  • Professional compliance qualifications or securities-related certifications are advantageous.
  • Strong knowledge of WpHG, MiFID II, MAR, MaComp, and related regulatory frameworks.
  • Several years of experience in Compliance, Legal, Internal Audit, Risk, or a related control function within financial services.
  • Experience designing, operating, or enhancing compliance monitoring and control frameworks.
  • Strong analytical capabilities and a structured, detail-oriented approach to complex regulatory matters.
  • Excellent communication skills and the ability to engage effectively with senior stakeholders and regulatory authorities.
  • Comfortable working in a fast-paced, evolving business environment where technology and innovation are key drivers of growth.
  • Fluent German and strong English language skills.

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