COMPLIANCE OFFICER
Location: Mallory, New York
Description: McGraw Hill Financial is at present looking to employ COMPLIANCE OFFICER right now, this position will be depute in New York. Detailed specification about this position opportunity kindly read the description below. Job Description
The Compliance Officer (CO) for Standard & Poor’s Ratings Japan K.K. is responsible for operating the Compliance Program for S&P mainly in Japan. In the initial sta! ges the CO will be actively involved in the improvement, development and implementation of the Compliance Program. The main focus of the role is on regulated business activities e.g. credit ratings; securities research; fund ratings and investment consulting services. The role also contemplates involvement in a range of other compliance activities in conjunction with the Senior Compliance Officer and the Regional Senior Compliance Officer, including the conduct of compliance reviews, the provision of compliance support to the business and the delivery of compliance training.
Compliance Program Development, Implementation and Operation
In conjunction with the Senior Compliance Officer, S&P, Asia, improve the existing compliance framework and where necessary develop and implement of an effective Compliance Program comprised of an annually renewed plan that:
identifies regulatory requirements and attendant risks throughout the Region,
assesses an! d measures the magnitude of regulatory and reputation risks in! the Region,
establishes or enhances policies and procedures to formalize the regional compliance control framework,
monitors compliance with such policies and procedures,
establishes compensating controls and mechanisms for corrective action,
establishes routines and methods to evaluate and respond to exceptions including recommending investigative procedures, as appropriate, and
develops reports on the effectiveness of the Compliance Program.
Control and operate the Compliance Program as developed and implemented for the Region and in particular,
identify genuine monitoring exceptions either generated by local systems or flagged as possible exceptions by other Compliance staff around the S&P network,
liaise with regional management, staff and compliance management in the determination, follow-up and escalation of issues arising from monitoring activities (this specifically would include the follow-up ! of securities dealing and portfolio queries highlighted through the Personal Securities Dealing System), and
perform compliance reviews and compliance risk assessments, identifying any weaknesses and where necessary recommending / following-up corrective actions.
Compliance Training and Communications
Assist in the development of compliance training and in ongoing communications that promote heightened awareness of codes of conduct, compliance policies and procedures and the understanding of compliance issues.
Ad hoc training should also be conducted where the results generated by the Compliance Program highlight areas where there are misunderstandings or knowledge gaps.
Compliance Support
Work in liaison with the Senior Compliance Officer, S&P, Asia in providing ongoing support to all levels of the Asian business on the following:
Ongoing ad hoc queries around existing or forthcoming compliance policies and pro! cedures,
New business proposals that have compliance-related i! mplications, and
Operational changes that have compliance-related implications.
Other Required Accountabilities
Assist as required in preparation for and facilitation of regulatory examinations.
Assist as required in follow-up and implementation of recommendations arising from regulatory examinations.
Assist as required in the conduct, reporting and follow-up of compliance-related internal investigations.
About the Company
Do you have the conviction to assess world markets with clear eyes and speak up about what you see? Standard & Poor’s Ratings Services is always looking for professionals who can contribute a distinct point of view. We have an unwavering dedication to cogent, coherent analysis of the ever-changing global markets. Our tools, research, and benchmarks deliver essential information to the marketplace every day. Bring your insight to Standard & Poor’s Ratings Services.
Standard & Poor'! s , a subsidiary of McGraw Hill Financial, is the world's foremost provider of credit ratings. With offices in 23 countries, S&P is an important part of the world's financial infrastructure and has played a leading role for 150 years in providing investors with information and independent benchmarks for their investment and financial decisions. A global leader in credit ratings and credit risk analysis, S&P provides objective and independent opinions on credit risk. S&P's public ratings are disseminated broadly and free of charge to recipients all over the world on our website.
Qualifications
6 to 8 years of compliance experience with a large financial services firm;
At least 3 years prior experience in creating compliance monitoring systems, tracking compliance issues and issuing reports (preferably within a “Control Room†environment);
Self-motivator with ability to judge between commercial and regulatory needs;
Able to wor! k independently, but also function as a team;
Highly analytica! l, solutions-oriented mindset and detail oriented;
Excellent presentation skills and ability to provide compliance training to all levels;
Discretion with confidential and financial information.
Strong interpersonal skills, including ability to develop effective relationships with senior internal/external stakeholders
High level of oral and written expression and the ability to work under considerable pressure and to tight deadlines
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If you were eligible to this position, please deliver us your resume, with salary requirements and a resume to McGraw Hill Financial.
Interested on this position, just click on the Apply button, you will be redirected to the official website
This position starts available on: Wed, 15 May 2013 04:02:14 GMT