Field of activity
The Regulation & Compliance team aims to ensure the compliance of Eurex Clearing with regard to internal and external regulations.
The aim is to protect Eurex Clearing from any harm, which could result from failures to comply with applicable laws and regulations.
Therefore, we monitor and on a regular basis assess the adequacy and effectiveness of the measures put in place to avoid potential conflicts of law issues.
Here, we work in close cooperation with Deutsche Börse Group Compliance. We also advise and assist the people responsible to carry out the CCP services to comply with the CCP's obligations under the applicable regulations.
Regulation & Compliance is expanding its current mandate and establishing a control function in the context of IT compliance, with a special emphasis on the Minimum Requirements for Risk Management (MaRisk), the Act on the Federal Office for Information Security (BSIG) and the Bank's Regulatory Requirements IT (BAIT) as well as international requirements.
The new position supports the holistic IT compliance approach at Group level and is responsible for IT compliance with regard to Eurex Clearing AG.
Tasks / responsibilities
Support on the monitoring of regulatory obligations and requirements and emerging market practices in IT governance / IT compliance
Advising the IT business units on compliance-relevant issues, in particular with regard to the proper implementation of the Minimum Requirements for Risk Management (MaRisk), the Banking Supervision Requirements for IT (BAIT), and the Act on the Federal Office for Information Security (BSIG)
Develop and apply compliance policies relevant to the IT business units and control their implementation.
Establishment of a control framework in terms of control requirements and control activities in the sense of a "2nd Line of Defense"
Conceptual development and preparation of relevant risk analyses
Carrying out independent controls on the appropriateness and effectiveness of the technical and organizational set-up of IT
Preparation of reports to board / management and other relevant bodies
Support on the communication with regulators, associations and IT compliance officers from other institutions
Interface and contact person for the currently established projects for the sustainable termination of findings in relation to IT compliance
Information and training of employees regarding IT compliance issues