Chief Compliance Officer

vor 3 Wochen


Frankfurt, Deutschland Morningstar Sustainalytics Vollzeit

About the role:

Sustainalytics is currently seeking a Chief Compliance Officer. The Chief Compliance Officer, will be responsible for the implementation of the Sustainalytics Global Compliance Program. This is a position based in our offices in Amsterdam and reports to the Global Chief Compliance Officer (“GCCO”) Ratings and Benchmarks

Job responsibilities:

Given the current market and regulatory environment, many rules and regulations have been enacted around the global. These rules and regulations continue to be updated. This role will be part of the Global Compliance team – with other members working in Toronto, New York, Bucharest, Madrid and Mumbai. The Chief Compliance Officer is responsible for ensuring the Firm’s policies and procedures ensure compliance with the European regulatory scheme and ensuring staff understand their responsibilities under the rules and regulations.

In this role, the successful candidate will have the ability to shape the role and have a meaningful impact. The Chief Compliance Officer will be expected to do the following:

• Responsible for the compliance program to meet the regulatory frameworks enacted in Europe (including UK), and provide ongoing assurance of compliance with Sustainalytics policies and procedures

• Provide advice and guidance to management on matters relating to conduct and compliance, including identifying areas of compliance vulnerability and risk, based on findings of compliance reviews

• Lead on the compliance component on the development of new business processes, and on changes to current business processes arising from changes to European regulations

• Enhance standard procedures for the intake (including for anonymous reporting and complaints from third parties), investigation, escalation and reporting of potential compliance related incidents relating to Sustainalytics to ensure that they are appropriately and consistently evaluated, investigated and resolved

• Foster, and maintain, a good working relationship with ESMA and FCA, compliance colleagues, members of other internal control functions and business management

• Lead the preparation for, and conduct of, regulatory examinations

• Draft any compliance reports required by European regulatory authorities

• Report on existing and emerging compliance issues and risks to the GCCO

• Maintain records of any violation reports received, including details of any actions taken

• Contribute to the ongoing development of the Compliance team by sharing best practices, knowledge, expertise and lessons learned on a regular basis

• Assist with the development, maintenance and delivery of compliance materials and training

• Assist with the continuous improvement of global compliance programs

• Maintain compliance files and records

• Implement and maintain policies and procedures for the general operation of the global compliance program within Sustainalytics.

Qualifications:

• 8 years of experience in compliance / regulatory control processes developed in Internal Audit in the Financial Services, Accounting or Legal professions

• Experience in leading and managing complex compliance projects

• Experience in designing and implementing compliance / regulatory policies and procedures

• Experience interacting with and responding to regualtory inquiries

• Experience in providing advice to senior manager and board of directors

• Highly developed interpersonal skills to build and maintain effective internal and external relationships

• Experience managing compliance teams

• Advanced communication skills (verbal and written) to report regulatory compliance information

• Strong analytical and investigative skills and sound judgment

• Understanding/experience of credit rating business would be an advantage

• A bachelor’s degree is required. A law degree is a plus


  • Chief Legal Officer

    vor 1 Woche


    Frankfurt am Main, Hessen, Deutschland Page Executive Vollzeit

    About Our Client My client is one of the most interesting and forward thinking Crypto projects of the coming years. I am looking for a Chief Legal Officer (m/f/d) with an excellent track record to join the team, to be based in Frankfurt. Job Description Lead the back-office team, overseeing legal, compliance, risk management, and administrative...


  • Frankfurt am Main, Deutschland operational services Vollzeit

    Chief Information Security Officer - Frankfurt am Main, Deutschland - operational services Beschreibung Professionals**Chief Information Security Officer (m/w/d)**: - Kennziffer: GEB - Frankfurt am Main**Über uns**: **operational services (OS)** ist einer der führenden ICT Service Provider im deutschen Markt und gilt als Backbone der Digitalisierung des...


  • Frankfurt am Main, Deutschland 3dprint.com Vollzeit

    Alexander Daniels Global have been retained to support a rapidly scaling technology start-up that were founded in 2020, having been spun out of the Fraunhofer Institute. A deep tech, B2B, software business, serving industrial customers, they have grown to a team of 50. Following a recent Series A funding round, they are well positioned to grow and are...


  • Frankfurt am Main, Deutschland Alexander Daniels Global Vollzeit

    Alexander Daniels Global have been retained to support a rapidly scaling technology start-up that were founded in 2020, having been spun out of the Fraunhofer Institute. A deep tech, B2B, software business, serving industrial customers, they have grown to a team of 50. Following a recent Series A funding round, they are well positioned to grow and are...


  • Frankfurt am Main, Hessen, Deutschland Departer - The German Headhunter Vollzeit

    Chief Information Officer Europe (m/f/d)Vertragsart: Permanent Arbeitszeitmodel: Vollzeit Frankfurt am Main, HE Job veröffentlicht: 32504 Stellenbeschreibung Über Departer - The German Headhunter: Departer ist eine führende deutsche Personalberatung mit über 20 Jahren Erfahrung im multinationalen Executive Search. Wir platzieren Führungskräfte...

  • Chief Digital Officer

    Vor 3 Tagen


    Frankfurt am Main, Deutschland Stadt Würzburg Vollzeit

    Chief Digital Officer - Frankfurt Am Main, Deutschland - Stadt Würzburg Beschreibung Die STADT WÜRZBURG sucht Sie für den_ _**Fachbereich Personal**: **Chief Digital Officer (m/w/d)**: **Wir bieten Ihnen**: - **unbefristetes** Arbeitsverhältnis in **Vollzeit**: - Aufgabenstellung entsprechende Besoldung in der **Besoldungsgruppe A13 BayBesO** bzw....


  • Frankfurt, Deutschland operational services GmbH & Co. KG Vollzeit

    CHIEF INFORMATION SECURITY OFFICER (m/w/d) KENNZIFFER: 2024058GEB STANDORT(E): Frankfurt am Main OS Operational services (OS) ist einer der führenden ICT Service Provider im deutschen Markt und gilt als Backbone der Digitalisierung des Mittelstands. Sie ist die federführende, agile Einheit der Telekom Gruppe, um im deutschen Mittelstand...

  • Chief Legal Officer

    vor 1 Woche


    Frankfurt am Main, Deutschland Page Executive Vollzeit

    About Our Client My client is one of the most interesting and forward thinking Crypto projects of the coming years. I am looking for a Chief Legal Officer (m/f/d) with an excellent track record to join the team, to be based in Frankfurt. Job Description Lead the back-office team, overseeing legal, compliance, risk management, and administrative...

  • Chief Sales Officer

    Vor 6 Tagen


    Frankfurt am Main, Deutschland EO Austria GmbH Vollzeit

    Chief Sales Officer - Frankfurt am Main, Deutschland - EO Austria GmbH Beschreibung Seit über einem Jahrzehnt unterstützen wir erfolgreich weltweit agierende Unternehmen in den Bereichen Transformation, IT-Ausschreibungen und Neuausrichtung von Service - und Vendor Management sowie bei der Gestaltung und Optimierung ihrer Vertrags - und...


  • Frankfurt, Deutschland Commerzbank AG Deutschland Vollzeit

    Herausforderungen haben wir genug - und jetzt brauchen wir dich, um sie anzugehen! Als Sanctions Compliance Officer bist du zentrale*r Ansprechpartner*in unserer in- und ausländischen Einheiten bei sanktionsbezogenen Themen. Dies beinhaltet u. a. Beratung, Anweisung und Schulung in Übereinstimmung mit den sanktionsrechtlichen Bestimmungen und internen...


  • Frankfurt, Deutschland operational services GmbH & Co. KG Vollzeit

    CHIEF INFORMATION SECURITY OFFICER (m/w/d) KENNZIFFER: 2024058GEB STANDORT(E): Frankfurt am Main OS Operational services (OS) ist einer der führenden ICT Service Provider im deutschen Markt und gilt als Backbone der Digitalisierung des Mittelstands. Sie ist die federführende, agile Einheit der Telekom ...


  • Frankfurt, Deutschland Angove Partners Vollzeit

    Risk and Compliance Officer, GermanyAbout the CompanyOur client is a Global Insurance Broker that is expanding its offering in arranging transactions in securities and other investments that complement its core insurance broking business. Our client is in the process of applying for authorisation for a new MiFID investment firm in Germany to support its...


  • Frankfurt, Deutschland Morningstar Vollzeit

    Morningstar Sustainalytics delivers high-quality, analytical environmental, social and governance (ESG) and climate research, ratings and data to institutional investors and companies. Our research is empowering the world’s leading institutional investors to identify, understand, and manage risks and opportunities from an ESG perspective. We are a global...


  • Frankfurt am Main, Deutschland Deutsche Bank Vollzeit

    **Divisional Chief Operating Officer (COO)/Chief Administrative Officer (CAO) (Global Product/s or Region) - Senior & Sensitive Role (f/m/x)**: **Job ID**:R0325288**Full/Part-Time**:Full-time**Regular/Temporary**:Regular**Listed**:2024-03-21**Location**:Frankfurt**Position Overview**: **Corporate Bank (CB) Technology** CB Technology is a global team of...


  • Frankfurt, Deutschland Goldman Sachs Vollzeit

    OUR IMPACT Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of...

  • Compliance Officer H/F

    vor 4 Wochen


    Frankfurt, Deutschland Crédit Agricole CIB Vollzeit

    Description du poste You will join  Crédit Agricole CIB Germany as Compliance Officer.  Global Compliance (CPL) is in charge of : - ensuring the respect and application of laws, regulations, market rules, professional and ethical standards, contractual commitments and instructions from Management, especially in respect of investment...

  • Compliance Officer H/F

    vor 4 Wochen


    Frankfurt, Deutschland Crédit Agricole CIB Vollzeit

    Description du poste Type de métier Types de métiers Crédit Agricole S.A. - Conformité / Sécurité financière Types de métier complémentaires Types de métiers Crédit Agricole S.A. - Financement et Investissement Intitulé du poste Compliance Officer H/F Type de contrat VIE Durée (en mois) 12 Date prévue...

  • Chief Legal Officer

    Vor 5 Tagen


    Frankfurt am Main, Deutschland Michael Page Vollzeit

    • Rare chance to enter the Crypto sector directly on the C-Level • Leadership position at one of the most promising Crypto projects FirmenprofilMy client is one of the most interesting and forward thinking Crypto projects of the coming years. I am looking for a Chief Legal Offic...


  • Frankfurt am Main, Deutschland operational services Vollzeit

    Chief Information Security Officer - Frankfurt am Main, Deutschland - operational services Beschreibung Professionals**Chief Information Security Officer (m/w/d)**: - operational services (OS)** ist einer der führenden ICT Service Provider im deutschen Markt und gilt als Backbone der Digitalisierung des Mittelstands. Sie ist die federführende, agile...

  • COMPLIANCE MANAGER

    vor 3 Wochen


    Frankfurt, Deutschland 360T Vollzeit

    Your responsibilities As a compliance associate, you will be part of the 360 Treasury Systems AG (“360T AG”) Compliance Team, which is responsible for advancing and empowering a compliance aware culture in 360T AG. You will support the Chief Compliance Officer of 360T AG (“CCO 360T AG”) regarding the followings: Creation, review and...