Junior Compliance Analyst

Position: Junior Compliance Analyst

Business Unit(s): VanEck (Europe) GmbH

Location: Frankfurt, Germany

Department: Legal & Compliance

Reporting to: Head of Compliance Europe

Summary

The Compliance Department is involved in a broad range of activities, including but not limited to compliance monitoring, regulatory advisory, product governance and maintenance of policies and procedures. This position offers a valuable opportunity to gain hands-on experience within a highly visible and fast-paced asset management organisation.

The candidate should have good knowledge about financial instruments, and preferably have some experience in the financial services industry, but the latter is not a condition. The candidate should be self-motivated and have strong communication and organisational skills with the ability to manage multiple, simultaneous tasks. This position is based in Frankfurt and reports functionally to the Head of Compliance Europe.

Primary Responsibilities

The position’s primary responsibilities include, but are not limited to, the following functions:

Trade Surveillance Monitoring:

• Support the review and escalation process for personal trading alerts, including documenting rationale and maintaining surveillance records;
• Monitor adherence to the firm’s personal account dealing (PAD) policy and other Code of Ethics requirements; and
• Assist in periodic testing, monitoring and control activities related to conflicts of interest, potential market abuse, insider dealing, and violations of internal policies.

Code of Ethics Training

• Assist in designing, preparing and delivering Code of Ethics and conduct-related training materials;
• Support ongoing compliance training and new-hire compliance orientation for colleagues within VanEck entities and affiliates across Europe; and
• Maintain training logs and ensure timely completion of mandatory training by all relevant employees.

Process Enhancement and Management:

• Assist in updating and maintaining compliance policies and procedures, including those relating to market conduct and the Code of Ethics;
• Collaboration with other departments to promote awareness of regulatory obligations and ensure adherence to applicable regulations and industry standards;
• Assist in monitoring regulatory developments impacting investment funds, distribution activities and innovative investment strategies, and support implementation of related compliance requirements;
• Participate in new product and business initiative reviews by conducting compliance assessments and identifying applicable regulatory considerations; and
• Support ad-hoc compliance initiatives projects as assigned.

Supervisory Responsibilities: This job has no supervisory responsibilities.

Experience / Qualifications:

• 0-2 years of experience in the financial services industry; and
• Proficiency in English; and German would be a significant plus.

Competencies:

To perform the job successfully, an individual should demonstrate the following competencies:

• Good knowledge about different financial instruments
• Quick in learning, and self-motivated team player
• Strong analytical and problem-solving skills
• Ability to efficiently communicate
• Excellent verbal, written and interpersonal communication skills
• Ability to perform in a fast-paced environment and ability to support multiple tasks in parallel

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