Department Overview
The Global Compliance Group is responsible for compliance matters and for interacting with regulators regarding such matters globally. It is split into three teams covering regulatory compliance, personal conflicts monitoring and compliance audit, monitoring and special reviews with staff based in London, Moscow, New York and Brazil. A Senior Compliance officer is now sought to join the Regulatory Compliance team based in Asia.
Job Description
The Regulatory Compliance team is responsible for managing Fitch’s interaction with regulators for exams and compliance with credit rating agency regulations including ensuring that Fitch meets all regulatory reporting obligations with respect to its international ratings and reviewing of Fitch’s policies and procedures to ensure they are designed to address regulation.
In the role you will work closely with colleagues in Fitch’s APAC Legal, Global Operations Management and Credit Policy Groups and will interact with Fitch staff at all levels of seniority and from all of Fitch’s offices and analytical groups throughout APAC. You will also interact with regulatory bodies with responsibility for rating agency supervision in the APAC region.
The role will report to the Head of Regulatory Compliance EMEA and APAC and will typically involve:
Maintain a detailed understanding of all relevant credit rating regulation within APAC.
Develop and sustain strong productive day-to-day relationships with the relevant regulatory bodies.
Take on day-to-day responsibility for ensuring that Fitch meets all ongoing regulatory reporting obligations in the region, as well as coordinating the responses to any ad-hoc regulatory requests for information.
Oversee internal preparation, coordination and management of regulatory examinations in the region. This includes overseeing the collection, compilation and management of documentation and review of collected documents for adequacy and appropriateness.
Management of the response to regulatory exam findings including tracking and monitoring Fitch’s completion of the recommendations.
Develop, manage and sustain strong productive relationships with Fitch management through the region including analytical and BRM staff, particularly office heads.
Provide guidance to internal stakeholders regarding regulatory compliance matters.
Job Skills
This position will suit a professional and dynamic individual who has extensive experience of working in compliance including interacting directly with regulators.
Strong client relationship skills with a proven track record of developing good rapport with key internal stakeholders so compliance function is seen as approachable and solution oriented while working with employees throughout the organization to support and maintain a strong culture of compliance.
Educated to degree level or equivalent you must be highly organised and efficient with the ability to multi-task and meet tight deadlines with a high degree of flexibility and excellent time-management skills.
You must have excellent drafting and communication skills with great attention to detail.
You should have experience in project work and problem-solving, with proven track record in identifying and analysing relevant considerations and presenting findings and recommendations in a clear and concise manner.
Rating agency regulation is an evolving area therefore you should be a fast learner and creative thinker.
Broad exposure to the capital markets environment would be highly desirable.
Employment Status
Full-Time
Compliance Information
Fitch is committed to providing global securities markets with objective, timely, independent and forward-looking credit opinions. To protect Fitch’s credibility and reputation, our employees must take every precaution to avoid conflicts of interests or any appearance of a conflict of interest. Should you be successful in the recruitment process at Fitch Ratings you will asked to declare any securities holdings and other potential conflicts prior to commencing employment. If you, or your immediate family, have any holdings that may conflict with your work responsibilities, you may be asked to divest yourself of them before beginning work.
For more information about this policy, please visit the code of ethics and conduct page - http://www.fitchratings.com/web/en/dynamic/about-us/code-of-ethics-and-conduct.jsp
The Global Compliance Group is responsible for compliance matters and for interacting with regulators regarding such matters globally. It is split into three teams covering regulatory compliance, personal conflicts monitoring and compliance audit, monitoring and special reviews with staff based in London, Moscow, New York and Brazil. A Senior Compliance officer is now sought to join the Regulatory Compliance team based in Asia.
Job Description
The Regulatory Compliance team is responsible for managing Fitch’s interaction with regulators for exams and compliance with credit rating agency regulations including ensuring that Fitch meets all regulatory reporting obligations with respect to its international ratings and reviewing of Fitch’s policies and procedures to ensure they are designed to address regulation.
In the role you will work closely with colleagues in Fitch’s APAC Legal, Global Operations Management and Credit Policy Groups and will interact with Fitch staff at all levels of seniority and from all of Fitch’s offices and analytical groups throughout APAC. You will also interact with regulatory bodies with responsibility for rating agency supervision in the APAC region.
The role will report to the Head of Regulatory Compliance EMEA and APAC and will typically involve:
Maintain a detailed understanding of all relevant credit rating regulation within APAC.
Develop and sustain strong productive day-to-day relationships with the relevant regulatory bodies.
Take on day-to-day responsibility for ensuring that Fitch meets all ongoing regulatory reporting obligations in the region, as well as coordinating the responses to any ad-hoc regulatory requests for information.
Oversee internal preparation, coordination and management of regulatory examinations in the region. This includes overseeing the collection, compilation and management of documentation and review of collected documents for adequacy and appropriateness.
Management of the response to regulatory exam findings including tracking and monitoring Fitch’s completion of the recommendations.
Develop, manage and sustain strong productive relationships with Fitch management through the region including analytical and BRM staff, particularly office heads.
Provide guidance to internal stakeholders regarding regulatory compliance matters.
Job Skills
This position will suit a professional and dynamic individual who has extensive experience of working in compliance including interacting directly with regulators.
Strong client relationship skills with a proven track record of developing good rapport with key internal stakeholders so compliance function is seen as approachable and solution oriented while working with employees throughout the organization to support and maintain a strong culture of compliance.
Educated to degree level or equivalent you must be highly organised and efficient with the ability to multi-task and meet tight deadlines with a high degree of flexibility and excellent time-management skills.
You must have excellent drafting and communication skills with great attention to detail.
You should have experience in project work and problem-solving, with proven track record in identifying and analysing relevant considerations and presenting findings and recommendations in a clear and concise manner.
Rating agency regulation is an evolving area therefore you should be a fast learner and creative thinker.
Broad exposure to the capital markets environment would be highly desirable.
Employment Status
Full-Time
Compliance Information
Fitch is committed to providing global securities markets with objective, timely, independent and forward-looking credit opinions. To protect Fitch’s credibility and reputation, our employees must take every precaution to avoid conflicts of interests or any appearance of a conflict of interest. Should you be successful in the recruitment process at Fitch Ratings you will asked to declare any securities holdings and other potential conflicts prior to commencing employment. If you, or your immediate family, have any holdings that may conflict with your work responsibilities, you may be asked to divest yourself of them before beginning work.
For more information about this policy, please visit the code of ethics and conduct page - http://www.fitchratings.com/web/en/dynamic/about-us/code-of-ethics-and-conduct.jsp
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