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Subject: Senior Compliance Associate – Ratings Agency New York

Gerald Elliott posted a job: Senior Compliance Associate – Ratings Agency New York

"Our client is a top-tier ratings agency. The Compliance Associate will primarily be responsible for reviewing the upgrade and downgrades issued by the firm and it’s analysts to ensure that the company and employees adhere to rules, regulations and requirements. Responsibilities:  Perform continuous testing and examinations of ratings documentation for compliance with internal policies and procedures.  Work with Business and Operations senior management to develop, track, and validate remediation plans.  Prepare periodic and ad hoc compliance reports outlining the results of Compliance’s Surveillance program and present results to Compliance Officers and senior management.  Work with the Compliance Surveillance Team, Rating Teams, Legal and Internal Audit to enhance the Surveillance Program and improve existing surveillance program.  Develop creative automated solutions to address testing needs and present information in a concise and comprehensible manner.  Assist in the drafting of new or amendments to existing policies and procedures. Qualifications:  At least three years of compliance and/or audit experience focusing on compliance-related activities.  Financial institutions or capital markets environment experience.  Direct regulatory experience is highly desired.  Professional certifications such as CPA, CIA, or CFE are preferred. To apply please submit your resume to Info@compliancesearch.com"

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