Compliance Advisor (m/w/d)

About the job

What You'll Do

Principal Asset Management is seeking a Compliance Advisor (m/w/d) to join their Frankfurt office on a permanent basis. This role offers an opportunity to join a global asset manager with the successful candidate joining part of the European compliance team, responsible for our KVG business in Germany.

Here are a few examples of the kinds of things you’ll do:

• Act as local compliance support for the German regulated business to ensure that all regulatory obligations are being met.
• Maintain compliance policies, including Anti-money laundering; Conflicts of Interest; Anti-Bribery/Fraud; Market Abuse; and other such matters.
• Maintaining an effective compliance monitoring program and perform regular reviews.
• Review and approve marketing materials prepared for the German business against regulatory requirements.
• Understand the relevant requirements of AIFMD in each location and ensure that plans are in place and responsibilities are clear such that the AIFMD local requirements are being appropriately addressed on a timely basis.
• Act as point of contact for the external Data Protection Officer and MLRO.
• Supporting business regarding requests related to environmental, social and corporate governance (ESG).

Who You Are

• Knowledge of the financial industry and connected regulatory requirements applicable is required.
• Knowledge of regulatory issues and the ability to react quickly to new trends in regulation.
• An advantage is the knowledge of regulatory requirements for German KVG business (i.e. AIFMD, KAGB, KaMaRisk, KAIT, etc.).
• Strong interpersonal skills with an ability to communicate with multiple departments and levels across the local and global business including third party service providers and auditors.
• Candidates need to be fluent in German and English
• 2 to 4 years relevant experience in the areas of Governance, Risk, Compliance or Audit is appreciated.

This is an ideal opportunity for an ambitious individual who is looking to gain exposure to a global business and is seeking to propel their career in a fast-growing and highly regarded asset management business.

Your Experience with us

At Principal, we value connecting on both a personal and professional level. Together, we’re imagining a more purpose-led future for financial services – and that starts with you. Our success depends on the unique experiences, backgrounds, and talents of our employees.

Who we are

Operating at the intersection of financial services and technology, Principal builds financial tools that help our customers live better lives. We take pride in being a purpose-led firm, motivated by our mission to make financial security accessible to all. Our mission, integrity, and customer focus have made us a trusted leader for more than 140 years!

Location

Based in our Frankfurt office. This role offers hybrid working on both full- and part-time basis.

Posting Window

We will accept applications for 5 full days following the Original Posting Date, after which the posting may remain open or be removed based upon applications received. Please submit applications in a timely manner as there is no guarantee the posting will be available beyond the applicable deadline.