Specialist - Compliance

Scope Ratings GmbH is looking for a motivated Compliance Professional to be based in Frankfurt, who is able to multi-task in a fast-paced environment.
The Compliance Professional will work in an evolving regulatory environment and will assist the Compliance team in developing, implementing and administering the Company's compliance program.
The Compliance Professional, working in a generalist capacity, will primarily support the Head of Compliance of Scope Ratings GmbH (based in Germany) and work closely with the other members of the Compliance Team. This position offers long-term career path opportunities for high-performing candidates.

Duties & responsibilities

• Contributes to the internal control framework through the identification, management and monitoring of Compliance risks.
• Reviews and updates policies and procedures owned by Compliance and supports in their subsequent implementation.
• Reviews and updates training materials and supports in the presentation to and documentation of the trained staff.
• Provides advice based on internal requests and supports in the responses to external requests, e.g. from regulators.
• Conducts monitorings and thematic reviews resulting from the annual plan or monitoring plan or as needed on ad-hoc basis.
• Owns, supports and monitors the closing of remedial actions based on regulator inquiries, internal investigations or audit findings.
• Contributes to the external and internal reportings, such as adhoc reportings to the regulators or internal bodies.
• 3+ years of experience within a Compliance of regulated financial services firm, law firm or similar regulated company in the area of securities and financial markets.
• 1-3 years of experience with AI inside the Compliance function; it would be a plus if you have experience using AI for both surveillance and efficiency purposes.
• Strong knowledge of risk assessments and control environments.
• Working knowledge of securities and/or financial markets compliance.
• Excellent written and verbal communication skills.
• Ability to work collaboratively and independently in a team and a multi-cultural environment.
• Strong problem-solving skills and ability to understand practical solutions to regulatory problems.
• Proven experience effectively prioritizing workload to meet deadlines and work objectives.
• Experience creating management and regulatory reports would be advantageous.
• Strong competence in Microsoft Office skills, such as Excel, Word and PowerPoint.
• Fluent oral and written English; another major European language (German and / or French would be ideal).
• Successful bachelor's degree in business law, bank training or certification from a international association

The compensation range disclosed may encompass multiple title levels (Scope internal levels of seniority). Your actual compensation will depend on a variety of factors, including but not limited to your individual experience, education, and seniority, and the final salary will be determined during the interview and evaluation process.

Pay Band: Specialist - Compliance

Minimum: 61,200.00 EUR

Maximum: 81,000.00 EUR

Bonus: Contractual

Benefits: Scope offers an extensive range of benefits, please check our benefits page for more details.

At Scope Group, we are committed to fostering a diverse and inclusive workplace where everyone is treated with respect and fairness. We embrace people from all backgrounds, regardless of culture, ethnicity and gender. We ensure that our application processes are free from discrimination. By valuing each individual's unique background and perspectives, we strive to create an environment where all employees can thrive and contribute their best. Our dedication to equality and inclusivity reflects our belief that diversity drives innovation and success.