Anti-Money-Laundering Officer (Geldwäschebeauftragte(r)) Compliance Officer (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 Anti-Money-Laundering-Officer ( Geldwäschebeauftragte(r)) and Compliance Officer based in Frankfurt am Main Germany.

Legal & Compliance Function Global Advisory (GA) Frankfurt

• The Anti-Money-Laundering (AML) Officer (Geldwäschebeauftragte(r)) / Compliance Officer is a member of the GA 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 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 AML Officer / Compliance Officer

The AML Officer / Compliance Officer holds a key control advisory and coordination role within the GA Frankfurt Legal & Compliance function. Within a small highly integrated team the role combines formal antimoney laundering responsibility active involvement in wider Investment Banking compliance matters and close cooperation with deal teams senior management and global Legal & Compliance colleagues across the Rothschild & Co Group.

Key Responsibilities

The AML Officer / Compliance Officer

• Acts as the AntiMoney Laundering Officer (Geldwäschebeauftragter) for Rothschild & Co Deutschland GmbH formally appointed by the local Management Board and duly notified to the competent supervisory authorities.

• Holds primary responsibility for AML and onboardingrelated matters for GA business in Germany Switzerland and Austria and acts as a central coordination point for any onboardingrelated questions relating to these jurisdictions liaising with relevant local and global stakeholders where required.

• Is closely embedded in the broader compliance activities of the investment banking business contributing actively to a wide range of compliance topics beyond AML aspects within the GA Legal & Compliance team.

• Prepares structured information and risk profiles for legal entities and individuals based on internal and external data sources (including WorldCheck and Factiva) covering reputational and background checks and assessments of potential clients senior management ultimate beneficial owners service providers and intermediaries.

• Reviews analyses and assesses AML and KYC documentation for moneylaundering duediligence purposes in close cooperation with deal teams (acting as first line of defence) and potential clients.

• Performs client risk assessments as part of the KnowYourClient process applying a riskbased approach and formulating clear wellreasoned recommendations.

• Is actively involved in sanctions screening and sanctionsrelated assessments as an integral element of the onboarding process ensuring close coordination and alignment with Compliance colleagues within the global Rothschild & Co Group.

• Implements maintains and monitors ongoing screening and periodic reassessment processes for clients senior management and ultimate beneficial owners ensuring continued compliance with AML and sanctions requirements.

• Advises deal teams and assistants on AML onboarding and compliancerelated processes

• Supports deal teams in the preparation of approval requests for internal committees of the Rothschild & Co Group including the structured presentation of AML sanctions reputational risk and compliance considerations.

• Is actively involved in conflict of interest management including the review and approval of advisory mandates from a conflicts perspective in coordination with Compliance colleagues and where required local management.

• Provides practical and businessoriented advice on general compliance matters with a particular focus on financial crime prevention conflicts of interest gifts & entertainment and staff dealing.

• Contributes to the preparation of Compliance Management Information (MI) reporting in particular in relation to AML onboarding sanctions and financial crimerelated matters.

• Designs and delivers internal training on AML sanctions and financial crimerelated topics with a strong focus on client takeon procedures and their practical implementation.

• Monitors analyses and reports on relevant legal and regulatory developments impacting AML sanctions and financial crime prevention and supports the timely implementation of related changes into local compliance practice.