Compliance officer

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.

Responsibilities

• Monitor 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

Qualifications

• 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.

610-941-6300 ext 121 direct: 484-567-2089

[email protected]

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