Job Description
Compliance Officer
My client has a full time remote opening for a Compliance Officer. You should come out of Financial Services to qualify for this role. This position plays a key role in monitoring and reporting related to NRSRO credit rating agency regulations. The Compliance Officer will also help evaluate internal controls, develop corrective action plans, and ensure timely remediation of any identified deficiencies.
This position reports directly to the Chief Risk and Compliance Officer.
ResponsibilitiesMonitor interactions and activities within the regulated credit rating agency to ensure compliance with applicable regulations
Record and report the results of compliance monitoring efforts
Evaluate existing internal controls and identify areas for improvement
Perform and document reviews of compliance-related internal controls
Recommend enhancements to strengthen adherence to policies, procedures, and regulatory requirements
Collaborate with staff and management to promote a strong compliance culture
Drive corrective actions and organizational improvements where control deficiencies are found
Assist with regulatory reporting and other tasks as needed to support compliance obligations
Experience conducting compliance monitoring or reporting within a regulated financial institution
Background in compliance, audit, internal controls, and/or risk management
Experience developing and implementing policies, procedures, and systems-based internal controls
Knowledge of internal control evaluation and testing methodologies
Experience developing and executing corrective action plans
Ability to communicate complex issues clearly and promote effective solutions
Strong interpersonal skills with the ability to balance firmness and diplomacy
Independent, analytical thinker with high integrity and sound judgment
Experience working with regulators or presenting to senior management preferred
Excellent written and verbal communication skills
Bachelor’s degree required, preferably in finance, economics, or a related field
Tim Campbell
Liberty Personnel Services Inc.
-campbell/0/a9b/616
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