Senior Compliance Auditor recruitment

Position Title: Senior Compliance Auditor

Working Location: US - New York, NY

Employment Status: Full-Time Regular

Required Experience: 5 years

Required Education: Bachelors Degree

Travel Required: 10

Job ID: 1841

Position Description:
Fitch Ratings is a global rating agency committed 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 across the fixed-income universe. The additional context, perspective and insights we provide help investors make important credit judgments with confidence.

Dual-headquartered in New York and London, Fitch Ratings has 50 offices worldwide. Fitch Ratings is part of the Fitch Group, a jointly owned subsidiary of Fimalac, S.A. and Hearst Corporation.
Fitch complies with federal, state, and local laws governing employment, 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.

Position Requirements:
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, follow up 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 to support audits across North and South America.

Within this position the candidate will have to plan, lead and execute 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:

•Planning and leading compliance audits of the various credit ratings groups and offices within Fitch Ratings.
•Reviewing credit rating files including rating committee documents, analytical models, and published commentary to verify compliance with policies and procedures.
•Following up on management responses to verify they have been implemented and controls are effectively working.
•Preparing and presenting conclusions and recommendations to various levels of management and securing commitment to address observations.

This role requires excellent analytical, communication and project management skills with focus on the big picture. Other requirements include:

•Bachelor's degree and 5 years of auditing experience.
•Experienced compliance or internal auditor, compliance monitoring professional or regulatory examiner with an in-depth working knowledge of financial securities and products.
•High level of accuracy and attention to detail.
•Independent initiative and critical thinking skills.
•Strong organizational skills and ability to manage multiple audits simultaneously.
•Excellent verbal and written communication skills with the ability to clearly and confidently express observations and recommendations.
•Strong project management skills and demonstrated ability to complete audits and projects within timelines.
•Technical experience working with and developing databases (SQL, Visual Basic, Microsoft Access).

Due to the nature of this role, 10% may involve travelling to offices in North and South America.