Compliance Manager

  • Competitive
  • Francfort-sur-le-Main, Hesse, Allemagne Francfort-sur-le-Main Hesse DE
  • CDI, Plein-temps
  • DBRS Ratings Limited
  • 25 mai 18 2018-05-25

To support its Global Compliance Program, DBRS is seeking a Compliance Manager in its Frankfurt Office. The Compliance Manager will assist the Global Compliance function in developing, implementing and managing the DBRS’s compliance framework

Position Summary: 


Given the current market and regulatory environment, many new rules and regulations are being enacted globally. This role will be part of the Global Compliance team – with other members working in Toronto, New York, Mexico and London. The Compliance manager will be a generalist compliance professional with jurisdictional responsibility as a local compliance officer for the DBRS Frankfurt office reporting to the EU Regional compliance officer in London. 


In this role, the successful candidate will have the ability to shape the role and have a meaningful impact on the entire organization. The role will involve: 

  • Provide advisory support to staff and management in Frankfurt
  • Assisting in the preparation of periodic compliance reports and filings
  • Supporting EU Compliance management of regulatory requests, including internal preparation for regulatory exams and investigations
  • Support EU compliance with the preparation of internal board reports
  • Providing compliance guidance for business initiatives
  • Supporting the DBRS compliance training program by creating and providing training to staff
  • Support the development, implementation and regular review of policies and procedures for the general operation of the global compliance program within DBRS
  • Undertake compliance monitoring activities and escalating issues to management as necessary
  • Leading or participating in various compliance projects and initiatives

Qualifications:

  • Excellent written and verbal communication skills in English
  • Min 5 year experience within a financial industry regulator or compliance department of a regulated financial services firm
  • Experience interacting with employees at various levels of an organization.
  • Highly developed interpersonal skills to build and maintain effective internal and external relationships
  • Strong communication skills (verbal and written)
  • Strong analytical and investigative skills and sound judgment
  • Experience in development, implementation and monitoring adherence to corporate policies, procedures and other guidance documents

Understanding of and/or professional experience with a credit rating business is also desired
We will also be looking for the individual to have the following skills;

  • Highest ethical standards.
  • Professional, flexible and able to meet tight deadlines
  • Ability to adapt to changing business and regulatory environments.
  • Ability to work effectively and supportively within a team.
  • Ability to work independently in Frankfurt and as part of an EU and global compliance team

DBRS is an Equal Opportunity and Affirmative Action Employer. We do not discriminate on the basis of race, religion, color, sex, age, national origin, veteran status or disability. All individuals are encouraged to apply.

We thank all applicants for their interest, but only those candidates selected for an interview will be contacted.

If selected for an interview, we will be happy to work with you to ensure your interview is accessible and that a reasonable accommodation is provided. When your interview is being scheduled, please advise us of how we might be able to support your participation.