JobDescription : Compliance Officer - Control Room Location: New York The Role
As a Compliance Officer in the Control Room you will be part of a global team tasked with overseeing controls in relation to credit ratings analyst conflicts of interest and protection of confidential and/or material non-public information, As part of this role you will be involved in monitoring electronic communications between restricted groups of employees. You will act as the gatekeeper and chaperone with respect to permitted conversations between the restricted groups of employees in line with firm's Conflicts of Interest policy. You will maintain records and logs of permitted communications as well as identify and escalate potential compliance issues arising out of chaperoned communications. You will help administer processes relating to the maintenance of insider records and assist in the generation of Insider Lists when required. Furthermore, you will be tasked with analyzing and reporting relevant productivity and risk indicators and assist in identifying and remediating emerging compliance risks. You will assist in analyzing exceptions generated by Control Room's communication surveillance and information barrier monitoring reports. Key Roles & Responsibilities
Functional & Business Knowledge
- Monitor communications between restricted groups of employees, act as a gatekeeper and a chaperone where necessary.
- Conduct activities relating to accurate and timely recording of insiders and creation and validation of insider lists in relation to regulatory requests
- Draft Compliance management information reports for various business and senior management stakeholders.
- Analyze and report of relevant risk indicators and assist in identifying and remediating emerging compliance risks.
- Good working knowledge of credit markets and the role of rating agencies in the capital formation process.
- Good understanding of the nature of conflicts of interest in the context of investment research or credit rating analysis.
- Good understanding of the nature of protection of information, in particular managing confidential and material non-public information
- Good understanding of the US and the EU financial regulation framework.
- Some understanding of operational or compliance risk management process.
- Excellent excel and power-point skills.
- Bachelor Degree in Economics, Finance or MIS.
- 1+ years of professional experience in Research or Capital Markets Compliance, Internal Audit, or Operational Risk Management functions.
- Strong knowledge of credit markets and understanding of financial regulation.
- Strong process background identifying and addressing exceptions/issues.
- Interest in global work and able to work effectively with individuals of diverse cultural backgrounds.
- Good communicator with the ability to influence and challenge across all level within the organization.
- A self-starter with good judgment.