Job Description
Compliance (Surveillance) will develop, execute and oversee continuous Compliance Surveillance testing of ratings documentation.
- Develop, execute and oversee continuous Compliance Surveillance testing of ratings documentation and processes for compliance with internal policies and procedures.
- Review collected documentation for adequacy and appropriateness.
- Assist management in preparing periodic Compliance reports for senior management.
- Participate in various compliance-related projects, as required.
- Developing testing procedures, as required.
- Conducting internal investigations
- Assisting in preparation of periodic compliance reports, as required.
- Assisting in preparation of Surveillance risk assessments
Requirements
- Substantial compliance and/or audit experience focusing on compliance-related surveillance/examination activities.
- Excellent written and verbal communication skills with the ability to interact with senior management
- Strong interest in compliance work.
- Strong academics with a BA / BSc / Master’s Degree (or equivalent) in Law.
- Experience within a financial industry regulator, law firm and/or compliance department of a regulated financial services firm.
- Ability to exercise judgment and strong attention to detail.
- Excellent interpersonal and team oriented skills.
