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Sepp is a seasoned compliance officer with over 25 years of experience in the financial sector and has built a distinguished career ensuring regulatory excellence within top investment banks and asset management firms. He is widely respected for his deep knowledge of financial regulations, risk management, and corporate governance.

Early Career & Education

Sepp earned his Finance and Business Law degree from a leading European university before starting his career in financial compliance. His early roles at mid-sized financial institutions gave him a strong foundation in regulatory frameworks, paving the way for his entry into investment banking.

Investment Banking & Compliance Leadership

Over the years, Hauer held senior compliance positions at several global investment banks, where he was instrumental in navigating complex regulatory environments. He was key in ensuring compliance with major financial authorities, such as the SEC, FCA, and ESMA, particularly in areas like anti-money laundering (AML), market conduct, and risk assessment.

His expertise in implementing robust compliance programs helped firms stay ahead of evolving regulations, particularly during the post-2008 financial crisis reforms. Known for his strategic approach, he worked closely with traders, portfolio managers, and legal teams to mitigate regulatory risks while enabling business growth.

Current Role & Industry Influence

As the Chief Compliance Officer at a successful investment firm, Hauer oversees all regulatory and compliance functions, ensuring that the company operates with integrity and transparency. His leadership has helped the firm maintain a strong reputation with regulators and investors.

Beyond his corporate responsibilities, he is an active voice in financial compliance forums, regularly speaking at industry conferences and contributing thought leadership on regulatory trends.

Personal & Professional Philosophy

Hauer is known for his meticulous attention to detail and unwavering commitment to ethical finance. He believes that a well-structured compliance program is not just about risk mitigation but also a driver of sustainable business success.

He enjoys mentoring young compliance professionals, travelling, and following global economic trends when he's not navigating financial regulations.