Compliance Co-ordinator (mwd)

About Us

Rothschild & Co is a leading global financial services group with seven generations of family control and a history of over 200 years at the centre of the worlds financial markets.

Our expertise intellectual capital and global network enable us to provide a distinct perspective that makes a meaningful difference to our clients communities and planet.

We have 4600 talented specialists on the ground in over 40 countries around the world enabling us to deliver a unique global perspective across four market-leading business divisions Global Advisory Wealth Management Asset Management and Five Arrows.

As a family-controlled business built on relationships we place a huge emphasis on our people and finding the right colleagues to take our business forward.

Rothschild & Co is committed to an inclusive and supportive environment where different perspectives are valued. We are focused on the attraction and recruitment development and retention and progression of high calibre talent to ensure we and our clients benefit from the value of difference.

Overview of the Role

Rothschild & Co is recruiting an experienced Compliance Co-ordinator based in Frankfurt am Main Germany.

Legal & Compliance Function in Frankfurt

• The Compliance Co-ordinator is a member of the Legal & Compliance Team of Rothschild & Co Deutschland GmbH based in Frankfurt.
• The team supports the Global Advisory (GA) i.e. Investment Banking business of the Rothschild & Co Group across Germany Austria and Switzerland and also advises on selected legal and compliance matters in other jurisdictions including Poland and South Africa.
• The activities of the Legal & Compliance team are broadly grouped into the following areas:

• Legal: In its role as the legal department the team supports and safeguards the interests of Rothschild & Co in its interactions with third parties. This notably includes the drafting negotiation and review of agreements with clients (such as advisory and non-disclosure agreements) as well as contracts with other third parties including service providers and addition the team serves as a primary point of contact for members of staff on legal questions arising in the course of the business.

• Compliance: The compliance function supports the local implementation of applicable internal and external laws rules policies and procedures and oversees adherence to these requirements. Its responsibilities include in particular monitoring compliance by members of staff. Key focus areas encompass KYC procedures (including antimoney laundering) anticorruption policies conflicts of interest and personal account dealing.

• Technical Advice: the Legal & Compliance Team team provides businessoriented legal advice to deal teams on transactionrelated matters with a particular focus on German corporate and capital markets law including the German Stock Corporation Act (Aktiengesetz) and the German Takeover Act (Wertpapiererwerbs und Übernahmegesetz).

Additional Responsibilities

Other responsibilities of the Legal & Compliance team include among others:

• risk monitoring and risk management
• handling and coordination of litigation matters
• corporate housekeeping
• monitoring of personal account dealing
• conflict management
• selected HRrelated topics
• data protection and
• delivery of internal training.

The Legal & Compliance team also acts as relationship manager for external legal counsel and supervises the services rendered by law firms. The team follows a proactive pragmatic and serviceoriented approach. Team members act as trusted sparring partners to the bankers and are fully integrated into the global Legal & Compliance community of the Rothschild & Co Group.

Job Profile

The Compliance Coordinator plays a key operational role within the GA Germany Legal & Compliance function supporting the effective implementation application and monitoring of compliance requirements in daytoday business activities. The role combines decisionmaking authority strong operational oversight and close cooperation with local compliance management and internal stakeholders across the Rothschild & Co Group. Technical affinity with compliance systems is a distinct advantage.

Key Responsibilities

The Compliance Co-ordinator

• Acts as a primary point of contact for staff on general compliance matters providing clear pragmatic and solutionoriented guidance on applicable compliance procedures.
• Reviews assesses and decides on Compliance Approval Requests including:
  • gifts & entertainment
  • personal account dealing
  • outside business interests and
  • conflicts of interest escalating matters where required in close cooperation with local management.
• Performs a central control and oversight function to ensure the accurate complete and timely recording of compliancerelevant data across relevant systems and databases including:
  • ClientConnect
  • Insider Lists (ILM)
  • MyComplianceOffice (MCO) and
  • designated SharePoint sites.
• Exercises an ongoing compliance oversight and monitoring role proactively identifying potential issues and contributing to the continuous improvement of compliance processes.
• Plays a key gatekeeper role in the practical application of Group Policies ensuring that global standards are consistently applied in local business practice and daytoday operations.
• Supports and contributes to the implementation and embedding of Global Group Policies at local level translating policy requirements into effective and workable local processes.
• Coordinates where necessary with Compliance colleagues and other internal stakeholders across the global Rothschild & Co Group ensuring consistency of interpretation and approach.
• Actively supports conflict of interest management including identification assessment documentation escalation and ongoing monitoring.
• Is involved in the local antimoney laundering (AML) framework supporting AMLrelated processes controls and documentation in close coordination with the Anti-Money Laundering Officer.
• Maintains a control and support function regarding staff compliance obligations including:
  • monitoring completion of mandatory elearning and training requirements and
  • supporting compliancerelated onboarding and offboarding activities.
• Prepares and compiles Compliance Management Information (MI) reports as well as other regular and adhoc compliance reports for management and internal stakeholders.
• Acts as administrator of the GA Germany Legal & Compliance intranet pages ensuring content is accurate uptodate and aligned with Group standards.
• Maintains and updates GA Germany Legal & Compliance documentation (including the GA Manual) ensuring completeness consistency and alignment with evolving Group Policies and regulatory requirements.
• Delivers compliance training including induction training for new joiners and may independently conduct compliance training sessions for staff as required.