Similar Jobs

View More

Compliance - Head of Policies, Procedures & Regulatory

This job is no longer active. View similar jobs.

POST DATE 8/10/2016
END DATE 12/19/2016

Global Financial Services Company New York, NY

New York, NY
AJE Ref #
Job Classification
Full Time
Job Type
Company Ref #


Compliance -Head of Policies, Procedures & Regulatory

Our Client, a dual-headquartered Company with locations in New York and London, is a leading provider of credit ratings, commentary and research. The Client delivers credit market data, analytical tools and risk services to the global financial community..


Our Client is currently seeking their Head of Compliance-Policies Procedures and Regulatory

This person will be an experienced professional and will manage ongoing
efforts to implement a standardized, global approach to drafting and updating
policies and procedures, and tracking and implementing new regulatory
requirements, to more effectively provide guidance to staff and address
regulatory change.

In this capacity, the individual will work closely with their Compliance colleagues, along with
business management, Legal and other internal support and control functions.
They will gain an understanding of both of the Company's business and operations, and
the rules and regulations under which the firm operates.

The successful candidate will 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 and competing priorities in a fast-paced
and changing environment. The candidate must also demonstrate a keen
understanding of the interplay between regulatory and business issues. Furthermore,
the successful candidate must demonstrate strong team-working skills and a
collaborative approach, including the ability to work and communicate with a
wide variety of senior managers throughout the company.

Qualifications and Experience

The ideal candidate will possess the following qualifications and experience:

Undergraduate degree required; Law degree a strong plus

A significant number of years of 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

Strong knowledge of the securities laws or CRA laws in the US or Europe a plus

Experience in a multinational organization a strong plus

Experience in managing or leading projects or teams a strong plus

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