Compliance Associate Director

2 weeks ago

London, Greater London, United Kingdom Fitch Ratings Full time

Compliance Associate Director Opportunity

Fitch Ratings is seeking an experienced professional to join our Compliance team as an Associate Director. This is a fixed-term contract position based out of our London or Manchester office.

The successful candidate will work closely with our Compliance colleagues in other regions, as well as Legal, business management, Human Resources, and other internal support and control functions. They will gain a deep understanding of Fitch Ratings' business and operations, as well as the rules and regulations under which we operate.

Key Responsibilities:

  • Provide practical and supportive guidance on compliance with our Code of Conduct and Global Securities Trading and Conflicts of Interest Policy provisions.
  • Manage the employee onboarding process for assigned geographical regions, coordinating with Human Resources, business lines, and new candidates to complete and review compliance disclosures.
  • Investigate potential conflicts of interest inquiries identified in the surveillance of securities trading or recusal process.
  • Collaborate with business heads, shared support groups, and compliance/risk colleagues to provide guidance on policies and procedures relevant to monitoring and surveillance of securities trading and recusals.
  • Take a hands-on approach with a sense of ownership and leadership for assigned geographical regions.

Requirements:

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

Desirable Qualifications:

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

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