Compliance Officer, Frankfurt

  • Competitive
  • Frankfurt am Main, Hessen, Germany
  • Permanent, Full time
  • Wellington Management Company, LLP
  • 20 Mar 19

Compliance Officer, Frankfurt


Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 50 countries, draw on a robust body of proprietary research and a collaborative culture that encourages independent thought and healthy debate. As a private partnership, we believe our ownership structure fosters a long-term view that aligns our perspectives with those of our clients.


As part of the continued expansion of our business in Europe, we are seeking to recruit an experienced Compliance & Money Laundering Officer. This individual will be  responsible for ensuring that our German entity has an appropriate local compliance programme in place. In addition, he/she will take on broader responsibilities within our wider EMEA Compliance team.

The position is likely to be based in Frankfurt. However, we would consider individuals based in Luxembourg (where the firm already has an established team) who are prepared to travel regularly to the Frankfurt office. This individual will report to the EMEA Chief Compliance Officer in London, and to the Geschäftsführer of Wellington Management Germany in Frankfurt.


Responsibilities will include the following:

* Developing and managing the compliance programme for Wellington Management Europe;

* Acting as the local Money Laundering Reporting Officer;

* Liaising with with BaFIN and local auditors as necessary;

* Ensuring that appropriate regulatory policies and procedures are in place, and understood by business units (and providing training as appropriate);

* Providing advice to the business units on regulatory developments in Germany and the EU;

* Building a programme to oversee delegated activities. This will involve close liaison with colleagues in other Wellington offices around the globe, where there are similar requirements;

Additional Compliance responsibilities will be dependent on the individual's skills and experience, but might include some of the following: helping the team which covers our UCITS funds in Luxembourg, advising on client guideline issues, anti-money laundering controls, and/or beneficial ownership oversight.


The successful candidate is likely to have:

* 10+ years of relevant financial services experience, ideally gained within the Asset Management industry;

* A good working knowledge of various asset classes and security types;

* A good working compliance knowledge, and knowledge of German regulatory requirements;

* Good business judgment, and the ability to work under pressure;

* The ability to work independently;

* Fluency in German and English (speaking and writing).

Please note that we are only able to respond to successful applicants.

Compliance Officer, Frankfurt



As an equal opportunity employer, Wellington Management considers all qualified applicants will receive consideration for employment without regard to race, color, sex, sexual orientation, gender identity, gender expression, religion, creed, national origin, age, ancestry, disability (physical or mental), medical condition, citizenship, marital status, pregnancy, veteran or military status, genetic information or any other characteristic protected by applicable law. If you are a candidate with a disability, or are assisting a candidate with a disability, and require an accommodation to apply for one of our jobs, please email us at .