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
- • 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.