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 world's 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 4,600 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 suppliers. In 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 anti‑money laundering), anti‑corruption policies, conflicts of interest and personal account dealing.

• Technical Advice: the Legal & Compliance Team team provides business‑oriented legal advice to deal teams on transaction‑related 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 HR‑related 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 pro‑active, pragmatic and service‑oriented 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 Co‑ordinator plays a key operational role within the GA Germany Legal & Compliance function, supporting the effective implementation, application and monitoring of compliance requirements in day‑to‑day business activities. The role combines decision‑making 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 solution‑oriented 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 compliance‑relevant 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 day‑to‑day 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 anti‑money laundering (AML) framework, supporting AML‑related 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 e‑learning and training requirements, and
  • supporting compliance‑related onboarding and offboarding activities.
• Prepares and compiles Compliance Management Information (MI) reports, as well as other regular and ad‑hoc compliance reports for management and internal stakeholders.
• Acts as administrator of the GA Germany Legal & Compliance intranet pages, ensuring content is accurate, up‑to‑date 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.