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N2623 days ago

Compliance and Prevention Associate

🇪🇸ESMadrid, Spainmid4+ yrs exp

Recruiter Fit Breakdown & Candid Summary

1

This role is ideal for a compliance or audit professional with deep experience in the German financial regulatory landscape.

2

Candidates must possess strong analytical skills for root cause investigation and be fully proficient in both German and English.

3

This is not a general customer service role; it is a technical compliance position requiring experience with BaFin standards and audit documentation.

4

The role is best suited for someone comfortable working in a fast-paced, digital-first banking environment.

Role Responsibilities

  • 1Execute regulatory remediation deliverables and coordinate with auditors.
  • 2Draft and update Written Orders (SfOs), Work Instructions, and process maps.
  • 3Conduct deep-dive Root Cause Analyses (RCA) on complaint cases.
  • 4Compile and archive Test of Design (ToD) and Test of Effectiveness (ToE) evidence for audits.
  • 5Perform qualitative and quantitative compliance verification on complaint outputs.

Skills Matrix

Must-Have Skills

8 required
German language proficiency(German)
English language proficiency(English)
Compliance controls
Banking operations
Complaints management
BaFin regulatory knowledge(BaFin)
Root Cause Analysis(RCA)
Audit support

Nice-to-Have Skills

3 preferred
Consulting experience
Data analysis
Quality assurance(QA)
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