Compliance Expert

4 weeks ago

London, Greater London, United Kingdom Fitch Ratings Full time

Associate Director - Fixed Term Contract

Fitch Ratings is currently seeking an experienced professional to represent the Personal Conflicts Monitoring (PCM) team as temporary maternity cover for a permanent employee.

The individual will work closely with their PCM colleagues in other regions, along with Legal, business management, Human Resources and other internal support and control functions.

They will gain an understanding of both Fitch Ratings' business and operations, and the rules and regulations under which the agency operates.

What We Offer:

  • Great development opportunities within the Compliance team with high visibility to various levels of stakeholders
  • Join an amazing team across New York, London, and Frankfurt

We'll Count on You To:

  • Provide a practical and supportive role in maintaining, advising, and overseeing compliance with the Firm's Code of Conduct and Global Securities Trading and Conflicts of Interest Policy provisions relating to employee trading, gifts, outside interests, and annual certifications by sharing a core set of responsibilities with the compliance team in London and the US.
  • Manage the full employee onboarding process for assigned geographical region(s), which includes coordinating between Human Resources, the business lines, and the new candidate to complete and review his or her compliance disclosures.
  • Investigate facts and circumstances to assist Human Resources and the business lines, where applicable, regarding potential conflicts of interest inquiries identified in the surveillance of securities trading or recusal process.
  • Collaborate and communicate extensively with business heads, shared support groups and compliance/risk and other colleagues to provide guidance on policies and procedures relevant to monitoring and surveillance of securities trading and recusals resulting from potential conflicts of interest.
  • Have a hands-on approach with a sense of ownership and leadership for the assigned geographical region(s).

What You Need to Have:

  • Significant hands-on, demonstrable experience in the financial services industry monitoring for conflicts arising from employee securities trading, outside interests, gifts, and entertainment.
  • Effectively communicate policy requirements to employment candidates, employees and managers on pertinent policies and procedures.
  • Knowledge of local regulatory requirements and obligations and the ability to identify emerging compliance issues and themes.
  • Highly organized with good time management skills and a responsive nature and advanced ability to identify discrepancies and determine alternative courses of action.

What Would Make You Stand Out:

  • Knowledge of investment securities
  • Experience using MyComplianceOffice
  • GDPR and privacy law experience
  • Professional Compliance qualifications

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