Compliance Officer/dc

Compliance Officer for Ratings Company (3 days/week Work from home)

· Conduct Compliance Monitoring Program and report to the management and Supervisory Committee members

· Provide advice on compliance and regulatory matters, review new business and operational initiatives, and participate in relevant committees

· Support the establishment and/or enhancement of policies and procedures as well as their implementation

· Manage interactions with FSA including regulatory filings, collating and coordinating responses to regulatory queries, addressing recommendations arising from regulatory surveillance and/or examinations

· Assist in the development of compliance training and ongoing communications that promote heightened awareness of codes of conduct, policies and procedures, and the understanding of compliance issues

· Collaborate with various control functions to ensure that issues being escalated are followed up and resolved appropriately. Consult with Legal Department, as needed, to resolve complex regulatory and compliance issues