Regulatory Compliance Lead for Fitch Group

6 days ago

London, Greater London, United Kingdom Fitch Group, Inc. Full time

Fitch Group, Inc. is seeking an experienced Regulatory Compliance Lead to represent the Personal Conflicts Monitoring (PCM) team as temporary maternity cover for a permanent employee based out of our London or Manchester office.

About the Role

This key position involves providing practical and supportive guidance in maintaining compliance with Fitch Group's Code of Conduct and Global Securities Trading and Conflicts of Interest Policy provisions relating to employee trading, gifts, outside interests, and annual certifications.

Responsibilities
  • Managing the full employee onboarding process for assigned geographical region(s), including coordinating between Human Resources, business lines, and new candidates to complete and review their compliance disclosures.
  • Investigating facts and circumstances to assist Human Resources and business lines regarding potential conflicts of interest inquiries identified in securities trading surveillance or recusal processes.
  • Collaborating with business heads, shared support groups, compliance/risk teams, and other colleagues to provide policy guidance relevant to monitoring and surveillance of securities trading and recusals resulting from potential conflicts of interest.
  • Displaying a hands-on approach with ownership and leadership for assigned geographical region(s).
What We Offer

This role offers great development opportunities within the Compliance team with high visibility to various levels of stakeholders. Join a dynamic team across New York, London, and Frankfurt.

Requirements
  • Demonstrable experience in the financial services industry monitoring 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, and the ability to identify emerging compliance issues and themes.
  • Excellent organizational skills with good time management and responsive nature, along with advanced ability to identify discrepancies and determine alternative courses of action.
About the Opportunity

Fitch Group offers highly competitive salaries commensurate with qualifications and experience, plus a range of benefits including professional development opportunities and a dynamic work environment.

The estimated salary for this role is £60,000 - £80,000 per annum, depending on qualifications and experience.

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