· Perform continuous testing and examinations of ratings documentation for compliance with internal policies and procedures.
· Assist in the preparation of periodic and ad hoc compliance reports outlining the results of Compliance’s Surveillance program
· Work with the Compliance Surveillance Team 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.
· Minimum of a Bachelor’s degree is required.
· Strong written and oral communication skills with the ability to interact with senior management.
· At least two 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.
· Must be able to work on own initiatives, with limited supervision.
· Multilanguage with ability to translate documents is a plus.
· Strong Microsoft Access, Excel and Word skills.
For San Francisco positions, qualified applicants with criminal histories will be considered for employment consistent with the requirements of the San Francisco Fair Chance Ordinance. For New York City positions, qualified applicants with criminal histories will be considered for employment consistent with the requirements of the New York City Fair Chance Act. For all other applicants, qualified applicants with criminal histories will be considered for employment consistent with the requirements of applicable law.
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