Fitch Group is a global leader in financial information services with operations in more than 30 countries. Fitch Group is comprised of: Fitch Ratings, a global leader in credit ratings and research; Fitch Solutions, an industry-leading provider of credit risk products and services; and Fitch Learning, a preeminent training and professional development firm. With dual headquarters in London and New York, Fitch Group is owned by Hearst.
Fitch complies with all laws governing employment in each jurisdiction in which it operates, and provides equal opportunity to all applicants and employees. All applications will be considered without regard to race, colour, religion, gender, national origin, age, disability, marital or veteran status, sexual orientation, and other status protected by applicable laws.
Fitch Ratings is currently seeking an experienced professional to manage Ratings' ongoing efforts to implement a standardized, global approach to drafting and updating compliance policies, assist with regulatory interactions and offer general support to the Compliance function as needed.
The individual will work closely with their Compliance colleagues and support other internal functions with respect to Compliance matters. They will gain an understanding of both Fitch Ratings' business and operations, and the rules and regulations under which the firm operates.
The candidate is required to have a strong background in law, compliance and/or regulation, and significant experience in drafting policies and procedures. The candidate must have the ability to manage multiple tasks. The candidate must also demonstrate a keen understanding of the interplay between regulatory and business matters. Further, the candidate must demonstrate strong team-working skills and a collaborative approach, including the ability to work and collaborate with a wide variety of senior managers throughout Fitch.
The Compliance Generalist will oversee the framework and methodology by which Fitch Ratings creates new, or amends existing, Compliance policies and procedures on a global basis. In addition, the individual will be responsible for maintaining a database of key laws, rules and regulations, and will support other Compliance functions.
The role involves performing the following primary functions:
Participating in daily collection, meaningful analysis, maintenance and management of relevant documents and information in response to regulatory requests in a manner designed to deliver high quality results, including period exams and annual registrations, certifications or filings
Developing strong, positive and constructive relationships with regulators, Compliance colleagues and other internal stakeholders
Advising relevant internal groups and functions with document productions and information responsive to regulatory requests assisting business and analytical groups in interpreting and implementing applicable laws, rules and regulations, and resolving compliance-related issues, questions or concerns
Conducting internal reviews and investigations of complaints alleging a breach of a law, regulation or internal compliance requirement.
Drafting new or amended policies
Training staff regarding Compliance requirements
Qualifications and Experience
The ideal candidate will possess the following qualifications and experience:
Undergraduate degree required
7-10 years legal, regulatory or compliance experience within or supporting large financial services institutions
Extensive experience in drafting policies and procedures
Extensive experience in analyzing and interpreting regulatory requirements
Knowledge of international securities regulation
- Experience in managing or leading projects or teams Skills and Attributes
The ideal candidate will demonstrate the following skills and attributes:
Excellent written and oral communications skills
An ability to exercise sound judgment and escalate issues appropriately
An ability to interact with all levels of personnel in an international environment
An organized and disciplined approach to project management, including the ability to manage multiple and competing priorities
A collaborative, inclusive nature in solving problems and advancing priorities
Native-level proficiency in the English language, both orally and in writing is required; Spanish a plus
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 for you and your Family Members prior to commencing employment. If you, or your Family Members, have any holdings that may conflict with your work responsibilities, they must be sold before beginning work. In certain roles, employees and their Family Members may be limited to investments in diversified mutual funds only.
For more information about this policy, please visit the Code of Ethics and Conduct page .