Compliance Manager

7 days ago

London, Greater London, United Kingdom Scope Group Full time

About Us

Scope Group is a leading European credit rating agency with headquarters in Berlin and offices in Frankfurt, London, Madrid, Milan, Oslo, and Paris. We specialise in the analysis and ratings of financial institutions, corporates, structured finance, project finance, and public finance.

Salary: €120,000 - €180,000 per annum, depending on experience

About the Role

We are seeking an experienced Senior Compliance Manager to join our team. As a key member of our compliance function, you will play a crucial role in ensuring that our credit rating processes comply with all relevant regulatory requirements.

Responsibilities:

  • Regulatory Compliance: Identify, assess, manage, and monitor key compliance risks that could impact the independence and integrity of the credit rating process.
  • Compliance Strategy: Support an integrated compliance strategy and contribute to the implementation of an efficient internal control framework and processes based on risk assessments.
  • Policies and Procedures: Maintain up-to-date applicable policies, procedures, rules, and regulations.
  • Regulatory Projects: Manage regulatory projects in close coordination with the Head of Compliance and support in the completion of the annual compliance plan.
  • Training and Development: Develop and conduct compliance workshops and training for employees.
  • Liaison and Guidance: Liaise with and provide guidance and advice to the analytical teams, the internal review function, and credit policy function on relevant compliance matters.
  • Day-to-Day Operations: 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.
  • Violation Management: Analyze and manage alleged violations of rules, regulations, policies, procedures, and standards of conduct, including conducting internal investigations.
  • Reporting and Visibility: 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.

Requirements:

  • Experience: 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.
  • Education: Master's degree in law or corporate governance or an equivalent degree with a compliance or regulatory background.
  • Skills and Qualifications: Deep understanding of the regulatory environment in which rating agencies or financial institutions operate and the ability to work in a highly regulated sector. 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.
  • Application Requirements:
    • 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)

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