Compliance & Regulatory Affairs (with Legal Support) Director (Germany)

In this role, you will lead and oversee the regulatory compliance program for Houlihan Lokey’s German and Swiss entities, ensuring AML/CFT, sanctions, and market conduct alignment. You will work closely with the German Compliance Officer and business units to integrate compliance into deal activity and governance. You will also provide targeted legal support on commercial transactions and corporate matters. The role offers impact across regulatory strategy, risk management, and cross-border coordination within a global advisory firm.

• Advise on regulatory, compliance, and risk for FR, CF, and FVA activities including conduct of business and transaction clearance
• Prepare and deliver periodic compliance and regulatory risk reporting to senior management and governance bodies
• Support Legal on German matters, including drafting engagement letters and reviewing confidentiality agreements
• Develop and enforce best practices for information handling, information barriers, and wall-crossing protocols
• Implement and maintain regulatory compliance controls, manuals, and policies aligned with BaFin, Deutsche Bundesbank, and EU standards
• Oversee due diligence onboarding (KYC, AML risk rating, sanctions screening) and deal-team conflict clearance
• Assume Deputy MLRO and other officer roles as appropriate (e.g., Deputy Compliance Officer, ESG)
• Liaise with BaFin and Deutsche Bundesbank and coordinate statutory audits and regulatory inquiries
• Deliver targeted compliance, AML/CFT, and market conduct training across German and Swiss entities

• 2+ years of relevant experience in regulatory compliance, financial crime prevention/AML, or legal & compliance within financial services or investment banking
• Strong understanding of German and EU financial laws and BaFin regulations (WpIG, WpHG, MaComp, GwG, MiFID II, MAR, DORA)
• German and English language proficiency (verbal and written) with ability to present clearly
• Ability to work under tight deadlines with limited supervision
• Integrity, collaboration, and proactive, hands-on attitude

• Interpersonal skills
• Proactive and collaborative mindset
• Excellent communication and organisational skills
• Regulatory knowledge (BaFin, WpIG, WpHG, MaComp, GwG, MiFID II, MAR, DORA)
• KYC/AML screening and sanctions screening
• Policy development and governance