We are looking for a Senior Compliance Manager who thrives when working on a variety of subject matters. You should be able to operate independently and manage the development and implementation of the compliance framework for Scope’s credit rating agencies built on excellence and financial industry best practices. You will work very closely with and mentor the other members of the Compliance Team.
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Your tasks & responsibilities
- Identify, assess, manage, and monitor key Compliance risks that could impact the independence and integrity of the credit rating process.
- Support an integrated compliance strategy and contribute to the implementation of an efficient internal control framework and processes based on risk assessments.
- Maintain up to date applicable policies, procedures, rules, and regulations.
- Manage regulatory projects in close coordination with the Head of Compliance and support in the completion of the annual compliance plan.
- Develop and conduct compliance workshops and training for employees.
- Liaise with and provide guidance and advice to the analytical teams, the internal review function and credit policy function on relevant Compliance matters.
- Oversee, coordinate, and handle day-to-day Compliance tasks such as periodic regulatory reporting, Compliance monitoring & testing based on the compliance annual plan and where appropriate.
- Analyze and manage alleged violations of rules, regulations, policies, procedures and standard of conduct, including conducting internal investigations.
- Provide regular updates to senior management, the relevant bodies, such as the Independent Non-Executive Directors and the administrative board and continuously provide visibility on Compliance risks and their mitigation.
- Support in managing the relationship with external authorities supervising credit rating agencies such as ESMA, ECB, FINMA or other national regulators.
Your professional & personal profile
- At least 5+ years of experience as a hands-on compliance professional with experience in a European Rating Agency or international financial institution, preferably with a corporate and investment banking business model.
- Master’s degree in law or corporate governance or an equivalent degree with a compliance or regulatory background.
- Deep understanding of the regulatory environment in which rating agencies or financial institutions operate and the ability to work in a highly regulated sector.
- Experience in dealing with ESMA; ECB or national supervisory authorities would be a plus.
- Experienced in managing compliance topics and projects across borders.
- Versatile in a business environment that comprises multiple jurisdictions.
- Fluent oral and written English language skills. Knowledge of German would be preferable.
- Independent, determined, and focused work style.
- Quick perception, critical judgement, and strong analytical abilities.
- Confident and professional appearance.
- Stress-resilient with the ability to work against tight deadlines.
- Strong social and excellent communication skills.
- Dynamic personality with a strong aptitude for teamwork.
- Ability to work in a multi-cultural environment.
- Accountable and reliable person of the highest integrity.
- Willingness to take responsibility with an entrepreneurial attitude.
Interested?
We look forward to learning more about you from your convincing application. Please apply online using our application tool quoting the reference “20230030“. Please note: For non-EU applicants a valid German work permit and German residence is a prerequisite for this job position.
What we want to see
- Signed current CV
- Criminal record certificate (can be provided at a later date)
- At least 3 letters of reference (can be provided at a later date)
- Copy of your university degrees and certificates (can be provided at a later date)
About Scope
Scope Ratings GmbH is part of the Scope Group with headquarters in Berlin and offices in Frankfurt, London, Madrid, Milan, Oslo and Paris. As the leading European credit rating agency, the company specialises in the analysis and ratings of financial institutions, corporates, structured finance, project finance and public finance. Scope Ratings’ credit risk analysis is opinion-driven, forward-looking and non-mechanistic, an approach that adds to a greater diversity of opinion for institutional investors. Scope Ratings is a credit rating agency registered in accordance with the EU rating regulation and operating in the European Union with ECAI status.
