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Compliance & AML Officer (German Branch)

Capital.com· CEO Office Europe – Compliance
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Hybrid (Frankfurt am Main)hybridPosted 6mo ago

About the role

Compliance & AML Officer responsible for designing, implementing, and overseeing regulatory compliance and AML/CTF frameworks for the German Branch, with dual focus on MiFID II/MiFIR and BaFIN conduct as well as German AML regulations, EU requirements, and group standards.

Responsibilities

  • Act as the designated Compliance Officer (CO) under German regulatory requirements and MiFID II organisational obligations.
  • Design and maintain the compliance monitoring programme.
  • Monitor and ensure adherence to BaFIN and ESMA regulations.
  • Review financial promotions, marketing materials, and client communications for compliance with applicable rules.
  • Maintain the compliance risk register and prepare periodic compliance monitoring reports for senior management.
  • Act as the appointed Anti-Money Laundering Officer (AMLCO) under German regulatory requirements.
  • Develop, implement, and maintain AML/CTF policies, procedures, and controls.
  • Ensure effective customer due diligence (CDD), enhanced due diligence (EDD), transaction monitoring, and suspicious activity reporting (SAR).
  • Oversee AML risk assessments and ensure alignment with the firm’s risk appetite.
  • Serve as the primary point of contact with BaFin and FIU Germany on AML/CTF matters.
  • Ensure compliance with German AML Act (GwG), EU AML Directives, and applicable EBA/ESMA guidelines.
  • Lead regulatory reporting, audits, and inspections related to compliance and/or financial crime.
  • Provide regular reporting to senior management and the board on compliance AML risks and controls.
  • Advise senior management on Compliance and AML/CTF risks, regulatory developments, and control enhancements.
  • Ensure effective escalation of Compliance and financial crime risks and incidents.
  • Develop Compliance and deliver AML/CTF training programs across the Germany entity.
  • Promote a strong compliance culture and awareness of Compliance and financial crime risks.
  • Collaborate with group Compliance, Risk, Legal, and Operations to ensure consistent application of regulatory compliance and AML standards.
  • Align local AML practices with group frameworks while meeting German-specific requirements.

Qualifications

  • 5+ years of proven experience as Regulatory Compliance Officer and/or AMLCO or senior AML function holder in Germany within a regulated financial services firm.
  • Strong knowledge of MiFID II/MiFIR and BaFin applicable regulations.
  • Deep knowledge of German AML law (GwG), BaFin expectations, and EU AML framework.
  • Strong understanding of brokerage/trading or fintech business models.
  • Experience dealing directly with regulators (including BaFin) and FIUs.
  • Strong analytical, judgment, and stakeholder management skills.
  • Fluency in German and English.

Skills

Required:Regulatory ComplianceAML/CTFRegulatory LiaisonTraining & Culture

Benefits

  • Competitive Salary
  • Work-Life Harmony
  • Generous Time Off
  • Employee Referral Program
  • Comprehensive Health & Pension Benefits
  • Workation Wonderland (30 extra days remote work)
  • Volunteer Days (2 additional paid days per year)
Last updated Oct 21, 2026. Interested? Apply on the company site.

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