Compliance / Internal Audit, Director
Fitch
Dual-headquartered in New York and London, Fitch Ratings is a global rating agency dedicated to providing value beyond the rating through independent and prospective credit opinions, research, and data. Offering a world of knowledge and experience behind every opinion, we transform information to deliver meaning and utility to investors, issuers, and other market participants. Fitch Ratings' global expertise draws on local market knowledge and spans the fixed-income universe. The additional context, perspective and insights we provide help investors make important credit judgments with confidence.
Fitch Solutions provides a range of industry-leading products and services to the global financial community. In addition to offering proprietary market-based content, we distribute the ratings, research, and financial data of Fitch Ratings through a variety of flexible platforms. With innovation and experience behind every solution we bring to market, our offerings are designed to meet the diverse needs of the fixed-income markets.
Fitch Ratings and Fitch Solutions, along with Fitch 7 city Learning, are part of the Fitch Group, a global leader in financial information services. Fitch Group is a jointly owned subsidiary of Paris-based Fimalac, S.A. and New York-based Hearst Corporation.
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, color, religion, gender, national origin, age, disability, marital or veteran status, sexual orientation, and other status protected by applicable laws.
The Compliance Audit Group (CAG) at Fitch Ratings is responsible for assessing compliance with the firm's Code of Ethics, published credit ratings criteria, and other policies and procedures. CAG reports to the Chief Compliance Officer and conducts analytical, functional and office audits as well as special reviews for Fitch. The group is currently based in New York and London.
The Compliance Audit Group (CAG) at Fitch Ratings is responsible for assessing compliance with the firm's Code of Ethics, published credit ratings criteria, and other policies and procedures. CAG reports to the Chief Compliance Officer and conducts analytical, functional and office audits as well as special reviews for Fitch.
The group is currently based in New York and London.
CAG is seeking an experienced compliance / internal auditor to join the team in New York.
Within this position, your key role will be to manage the auditors conducting compliance audits across the various credit ratings groups and Fitch offices. You will have the opportunity to work with Fitch personnel at all levels and learn about the various aspects of Fitch's business.
Specific responsibilities include:
· Managing compliance audits including the planning, execution and reporting of findings;
· Leading the annual risk assessment and audit planning process;
· Maintaining and updating the CAG compliance audit procedures;
· Performing an annual quality assurance review of audits completed;
· Identifying enhancements to CAG procedures, processes and audits;
· Managing implementation of new audit software system;
Drafting senior management reports based on rating group and office audits; and
· Assisting on special reviews where needed.
This role requires excellent analytical, communication and project management skills with the ability to strategically focus on the big picture. Other requirements include:
· Bachelor's degree, 10 - 12 years of operational or process auditing experience and 5-7 years of management experience.
· Experienced compliance or internal auditor.
· Prior experience leading audits and building out audit programs.
· Excellent presentation and written communication skills.
· Strong organizational skills, attention to detail, and high level of accuracy.
· Independent initiative and critical thinking skills.
· Excellent project management skills, with the ability to manage multiple audits simultaneously and complete audits / projects within timelines.
· Ability to utilize or identify technology to enhance existing processes.
· Creative thinker with ability to develop and implement new processes and ideas.
· Ability to establish and maintain strong internal and external client relationships.
· Strong management skills with the ability to help mentor and develop staff.
· Individual must be flexible and open to new ideas and suggestions.
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