Head of Compliance | Barclay Simpson
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Head of Compliance

  • Frankfurt-am-Main
  • €120 - 160,000

Our client is a well-known Global Asset Manager with a long term presence in European markets with their lead MiFID entity based in Germany. They are seeking a new Compliance Officer and MLRO to be based in Frankfurt to have oversight of all Compliance matters relating to the German business as well as two other EU branches.



  • Act as the registered Compliance Officer, MLRO and Outsourcing Officer for the German entity
  • Maintain, update and implement compliance polices and procedures on a local level, incorporating the group framework and local regulatory requirements
  • Act as the main point of contact with BaFin and other regulatory authorities
  • Work with external auditors for all audit requirements
  • Work with group level compliance team to assist in the development of regional policy
  • Provide proactive groupwide reports on regulatory changes in Germany and the EU and discuss potential impacts on the business
  • Work with the marketing and legal teams to ensure the compliance of financial promotions and market material to local regulations


Experience required:


  • Significant experience of Regulatory Compliance responsibilities gained within German financial institutions
  • Working knowledge of Asset Management regulations
  • Fluent German language skills are required, additional European language skills preferred

We seek individuals from a diverse talent pool and encourage applicants from underrepresented groups to apply to our vacancies. Our commitment to fair recruitment processes means that we welcome applicants from all backgrounds, regardless of their lived experience or personal characteristics. We also invite applicants who meet most of the listed requirements, even if not all, to apply. If you require any adjustments to the application process, please let us know.

Barclay Simpson acts as an Employment Agency for permanent positions and an Employment Business for temporary/contract engagements.

Ben Carter-Fraser

Head of Europe

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