Interim Regulatory Compliance Officer – Consulting Firm (M&A, DA and Corporate Finance)

Job Description

Interim Regulatory Compliance Officer – Consulting Firm (M&A, DA and Corporate Finance)

Location: London or Frankfurt

Languages: German and English, other European languages a plus

Key Responsibilities:

• Transaction Advisory: Provide pragmatic, hands-on compliance solutions that align with business objectives while mitigating regulatory risks.
• Regulatory Oversight: Ensure full compliance with German (BaFin), EU, and UK (FCA) financial regulations related to corporate finance and M&A activities.
• Licensing & Passporting: Work with the team on obtaining BaFin license in Germany and passporting across the EU where applicable.
• Risk & Compliance Management: Ensure necessary regulatory frameworks, policies, and controls are in place to meet legal and financial compliance requirements.
• Monitoring & Reporting: Maintain ongoing compliance monitoring programs and prepare regulatory filings.

Skills & Experience Required:

• Consulting & Corporate Finance Experience: Familiarity with consulting businesses specialising in M&A and corporate finance.
• Regulatory Expertise: In-depth knowledge of BaFin regulations, EU regulatory frameworks, and UK FCA rules for financial services.
• Independent & Commercially Minded: Ability to interpret complex regulations in a practical, business-friendly manner.
• Operational Experience: Experience advising senior management on compliance risks.
• Adaptability: Open to candidates returning to the workforce, particularly those with previous BaFin/FCA regulatory compliance experience.
• Interpersonal Skills: Great interpersonal skills to deliver results-oriented regulatory compliance.
• Bilingual Proficiency: Fluent in German and English – must be able to engage with regulators and clients in both languages.

Qualifications:

• Prior experience as a Compliance Officer, Head of Compliance, or Regulatory Consultant in a consulting firm.
• Legal or financial background (Law, Economics, Finance, or equivalent qualification).
• Professional certifications (e.g., CAMS, ICA, CFA, or equivalent compliance qualifications).

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