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Compliance (Fixed Term) - Assoc. Director (London or Dublin)

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KBRA

1mo ago

  • Job
    Full-time
    Senior Level
  • Dublin
  • Quick Apply

AI generated summary

  • You should have experience as a Compliance Officer in finance, strong communication skills, problem-solving ability, a bachelor's degree, and a self-starter attitude.
  • You will manage compliance operations, provide guidance, conduct monitoring, respond to queries, investigate exceptions, deliver training, and prepare reports for management and the Board.

Requirements

  • Experience working as a Compliance Officer for a financial institution or similar role.
  • Credit rating agency and/or Capital Markets experience a plus.
  • Excellent oral and written communication skills, with the ability to synthesize and present complex information to a variety of audiences clearly and effectively.
  • Ability to identify compliance issues and operational control weaknesses.
  • Approaches the compliance function from the perspective of trusted advisor and educator to other company colleagues and departments.
  • Ability to both take direction and be a self-starter.
  • Ability to exercise good judgment and discretion in handling sensitive matters.
  • Bachelor's Degree required.

Responsibilities

  • Manage the day-to-day operations of KBRA UK and KBRA Europe's compliance functions.
  • Provide guidance and advice on compliance related matters to internal stakeholders.
  • Conduct compliance monitoring activities and report results to management.
  • Co-ordinate responses to regulatory queries.
  • Investigate compliance exceptions, document findings, and recommend corrective action.
  • Develop, manage, and deliver compliance training programs.
  • Manage the planning, organising, writing, and submission of periodic and ad-hoc regulatory reports.
  • Develop and manage short and long-term plans for KBRA compliance projects.
  • Serve as a resource/subject matter expert on compliance issues.
  • Work with Senior Management and other departments including Legal, IT, Credit Policy, Analytical, Business Development, Electronic Publishing and HR on inter-departmental initiatives and projects.
  • Prepare compliance reports and other materials for Senior Management and the Board of Directors.

FAQs

What is the duration of the contract for this position?

The position is a fixed-term contract for one year.

Where can this position be based?

This position can be based in either London, United Kingdom or Dublin, Ireland.

What is the main purpose of this role?

The main purpose of this role is to support KBRA UK and KBRA Europe in meeting their regulatory obligations and ensuring compliance within the organization during a maternity leave period.

What are the key responsibilities associated with this position?

Key responsibilities include managing compliance operations, providing guidance on compliance matters, conducting monitoring activities, coordinating regulatory responses, investigating compliance exceptions, developing training programs, and preparing compliance reports for management and the Board of Directors.

What qualifications are required for this position?

A Bachelor's Degree is required, along with experience working as a Compliance Officer for a financial institution or a similar role.

Is experience in the credit rating agency or capital markets necessary?

While not mandatory, experience in a credit rating agency and/or capital markets is considered a plus.

What skills are essential for success in this role?

Essential skills include excellent oral and written communication, the ability to identify compliance issues, approaching compliance from an advisory perspective, self-starting ability, good judgment, and discretion in handling sensitive matters.

Who will this position report to?

This position will report to the Head of European Compliance.

Will the successful candidate work with other departments?

Yes, the successful candidate will work with Senior Management and various departments including Legal, IT, Credit Policy, Analytical, Business Development, Electronic Publishing, and HR on inter-departmental initiatives and projects.

Is there a specific focus on compliance training in this role?

Yes, one of the responsibilities includes developing, managing, and delivering compliance training programs.

KBRA

We're a global rating agency providing transparent, timely credit ratings and research through an innovative approach.

Finance
Industry
501-1000
Employees

Mission & Purpose

KBRA was established in 2010 in an effort to restore trust in credit ratings by creating new standards for assessing risk and by offering accurate and transparent ratings. KBRA provides the investment community with an alternative solution by delivering timely and in-depth research. KBRA is a full service global rating agency whose mission is to set a standard of excellence and integrity.