Securities Monitoring 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 7city 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.
Compliance
Compliance Analyst
Tracking and Monitoring Employee Personal Securities Brokerage Account Statements and Trade Confirmations.
Ongoing surveillance and "spot checking" of personal trading account activity to detect trading exceptions under Bulletin 13 with the appropriate escalation.
Ability to review trading activity against Fitch restrictions.
Advisory role for employees and managers to identify areas of Conflicts and work to resolve those Conflicts.
Provide guidance to new employees around our Code of Conduct.
Prepare and review Exception Reports for Senior Management regarding status of trading activities.
Participating in regulatory exams, collect, organize and provide required regulatory reports and respond to other information requests (subpoenas, management requests, audit).
Maintain and update the Personal Conflicts Monitoring Procedures Manual.
Identify areas for process improvements.
Systems knowledge to generate reports, manipulate systems information to respond to senior management requests for Conflict Reports.
Provide analytical and administrative support such as the preparation of Compliance training materials.
Ongoing liaison with the business and other support functions.
Develop and maintain relationships with our providers and vendors to ensure prompt delivery.
Collaborate with IT and vendor to ensure successful rollout of new employee trading oversight system.
Review outside business activities to identify potential conflicts of interest.
Prepare and issue disciplinary memos with the necessary management involvement and follow up.
Issuance of the Annual Compliance Certification, track and follow up until it is complete.
Maintain the Compliance calendar to ensure that all required deliverables are met.
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