20 beste Stellen als director of compliance in frankfurt am main, he – aktuell auf Personalsuche

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Director, Agency and Trustee Services

Kroll -
Frankfurt am Main

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Details zur Stelle

Vollzeit

Qualifikationen

Englisch
Finanzwirtschaft
Bachelor
Wirtschaft
Führungserfahrung
Deutsch

Vollständige Stellenbeschreibung

“Head of Risk Control” as a member of the management board ( Geschäftsleiter (m/f/x)) at a German payment institution – KAS Europe

Kroll Agency and Trustee Services ( KATS ), part of the Kroll group’s business services, provides independent, conflict-free, third-party agency and trustee services. Servicing the bond and loan markets, KATS has developed its strong reputation by providing proactive and bespoke services to its clients. The Kroll group currently manages over 1,500 loan and bond transactions globally.

As part of the Kroll group’s strategic expansion, KATS is establishing and scaling its German agency platform. For this purpose, KATS has established Kroll Agency Services (Europe) GmbH ( KAS Europe ), i.e., a German limited liability company currently applying for an authorisation as a payment institution within the meaning of the German Payment Services Supervisory Act ( Zahlungsdiensteaufsichtsgesetz – ZAG ) from the German Federal Financial Supervisory Authority ( Bundesanstalt für Finanzdienstleistungsaufsicht – BaFin ). Within this context, KAS Europe is looking for a “Head of Risk Control” who will simultaneously be appointed as a member of KAS Europe’s management board ( Geschäftsleiter (m/f/x)) and hold the position of a “Director” within the Kroll group (the Head of Risk Control ).

KAS Europe’s Head of Risk Control will, in particular, be responsible for implementing, overseeing, and adjusting KAS Europe’s risk control function and, simultaneously, head KAS Europe’s second line of defense. Amongst others, the role should ensure robust identification, assessment, monitoring, and mitigation of operational, legal, and conduct risks across the full loan agency lifecycle, while maintaining compliance with internal policies and external regulatory requirements (in particular, under the ZAG, BaFin’s ZAG Minimum Requirements for Risk Management ( ZAG-MaRisk ), and relevant guidelines and administrative practices by the European Banking Authority ( EBA ) and BaFin.

In this regard, KAS Europe’s Head of Risk Control will act as a key control function and trusted partner to KAS Europe’s and the wider Kroll group’s front office, operations, legal, compliance, and technology units, with accountability for control governance, risk reporting, and continuous improvement of the control environment.

RESPONSIBILITIES:

As the member of the management board ( Geschäftsleiter (m/f/x)) responsible for KAS Europe’s second line of defence and, in this regard, risk control function, the Head of Risk Control should provide independent challenge and oversight while remaining close to day-to-day activity. The Head of Risk Control should ensure accurate and on-time delivery of all key task items including (but not limited to) the following:

Risk Governance & Control Framework

Establishing and further developing a system of risk indicators and an early risk detection procedure, covering operational, legal, reputational, and conduct risks.
Define, implement, and monitor key controls across agency activities (e.g., deal onboarding, notice processing, cash management, consent management, amendments, and restructurings).
Ensure adherence to KAS Europe’s risk appetite, internal control standards, and global policies.

Operational & Process Risk Oversight

Supporting management in all risk policy matters, especially in the development and implementation of the risk strategy as well as in the design of a system to limit risks.
Identify key risk drivers within agency processes and ensure appropriate preventative and detective controls are in place.
Oversee incident management, including root cause analysis, remediation planning, and tracking of control enhancements.
Ongoing monitoring of the institution’s risk situation and risk mitigation.

Regulatory & Compliance Interface

Ensure compliance with applicable regulations and supervisory expectations, especially regarding payment services regulation (e.g., ZAG, BaFin’s ZAG-MaRisk, and relevant EBA and BaFin guidelines and administrative practices).
Act as a key contact for internal audit, external audit, and regulatory reviews relating to agency risk and controls.
Coordinate responses to audit findings and regulatory actions, ensuring timely and sustainable remediation.

Risk Reporting & Management Information

Develop and deliver high-quality risk reporting and management information for both KAS Europe and the wider Kroll group (the latter as far as relating to KAS Europe).
Monitor key risk indicators, control performance, issues, and trends.
Escalate material risks and control weaknesses in a timely and transparent manner.

Stakeholder Management

Partner closely with KAS Europe’s management board, operations, legal, compliance, finance, and technology teams.
Provide independent challenge while maintaining a pragmatic, solutions-oriented approach.
Represent KAS Europe’s risk control function in governance forums, committees, and project steering groups.

People & Leadership

Lead, develop, and mentor a local risk control team (where applicable).
Foster a strong risk and control culture within KAS Europe.
Contribute to regional and global risk initiatives and best-practice sharing.

KEY REQUIREMENTS:

Experience & Qualifications

Extensive experience (typically 8+ years) in risk control, operational risk, or control functions within payment services, syndicated loans, or corporate banking. Ideally, the Head of Risk Control candidate already has at least three years of experience as a management board member ( Geschäftsleiter (m/f/x)) at a regulated institution.
Strong understanding of syndicated loan agency products and processes.
Proven experience engaging with regulators, auditors, and senior management. Ideally, the Head of Risk Control candidate is already known to BaFin.
Bachelor’s degree in finance, business, law, or a related discipline; advanced degree or professional certifications (e.g., certification as Financial Risk Manager or Professional Risk Manager) advantageous.

Technical & Regulatory Knowledge

Deep knowledge of operational risk frameworks and internal risk control standards.
Familiarity with EU and German regulatory requirements, especially regarding payment services regulation (e.g., ZAG, BaFin’s ZAG-MaRisk, and relevant EBA and BaFin guidelines and administrative practices).
Strong understanding of loan documentation, agency roles, and lifecycle events.

Skills & Competencies

Strong leadership, influencing, and stakeholder management skills.
Ability to provide effective independent challenge while enabling business objectives.
Excellent analytical, organisational, and communication skills.
High attention to detail with a pragmatic, risk-based mindset.
Support the build-out and scaling of KAS Europe’s platform, ensuring controls are embedded into new products, processes, and systems from inception.

Language Skills

Fluency in English required.
German language skills highly desirable.

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Ich möchte aktuelle Job-E-Mails für Stellen als director of compliance in frankfurt am main, he erhalten

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