Senior Compliance Associate

Responsibilities:

• Perform continuous testing and examinations of ratings processes for compliance with internal policies and procedures.
• Develop test procedures related to Surveillance reviews supporting the ratings process.
• Document workpapers for all reviews performed.
• Support Compliance Surveillance reviews while working with Compliance team member who are based in global locations based in NY, Lithuania, Latam, and India offices.
• Assist in the preparation of periodic and ad hoc compliance reports outlining the results of Compliance’s Surveillance program.
• Develop creative solutions to enhance existing surveillance reviews.

Qualifications:

• Minimum of a Bachelor’s degree is required.
• 7+ years of compliance and/or audit experience focusing on compliance-related activities.
• Financial institutions or capital markets environment experience.
• Professional, pro-active, flexible, diligent, and dependable.
• Excellent interpersonal skills and team oriented.
• Must be highly organized and efficient with the ability to multi-task and meet tight deadlines.
• Strong written and oral communication skills in English. Multilanguage skills are a plus.
• Must be able to work on own initiatives, with limited supervision.
• Strong Microsoft Excel and Word skills.

*Hybrid schedule: 2 days in office , 3 days remote