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The purpose of this request is to increase our capacity to meet the need to change the operating model of Ratings Email Surveillance from a widely distributed supervisory model to a centralized and compliance-driven review of emails and to establish a generalist control room position in the EMEA region to cover conflicts and access controls tasks.
Key Roles & Responsibilities :
Conduct email surveillance, flag and escalate problematic emails, maintain case management entries related to said escalations.
Monitor in real time email communications between Analytical and Commercial employees.
Act as a Gatekeeper and a Chaperone with respect to permitted communications and meetings between analytical and commercial employees.
Draft reports for senior management regarding surveillance, chaperoning and monitoring activities.
Assist in analyzing exceptions generated by Control Room's communication surveillance and information barrier monitoring reports.
Assist with analyzing and reporting of relevant risk indicators and assist in identifying and remediating emerging compliance risks.
Functional and Business Knowledge :
Good working knowledge of credit markets and the role of rating agencies in the capital formation process.
Solid understanding of the US and the EU financial regulation framework.
Good understanding of operational or compliance risk management process.
Good understanding of the nature of conflicts of interest in the context of investment research or credit rating analysis.
Excellent excel and power-point skills.
Problem solving :
Uses common sense and defined procedures to complete tasks in straightforward situations without supervision.
Uses judgment based on practice and precedence and accurately defines problems by trying to understand underlying factors/causes.
Selects appropriate alternative sources of information and utilizes them to evaluate situations and possible outcomes. Organizes information and identifies criteria for analyzing ideas to reach a logical solution.
Analytical thought needed to resolve issues in a variety of complex situations. Considers best practices and lessons learned to evaluate solutions. Makes decisions after analyzing multiple sources, internal and external.
Leads and uses conceptual and innovative thinking (i.e., identifying new/different solutions) to solve issues. Looks beyond immediate problems for wider implications and determines best path forward.
Shapes and leverages advanced conceptual thinking to solve complex and/or completely new or novel situations that have never been dealt with before. Actively pursues innovative solutions that align with the company's tolerance for risk (business and reputational).
Interpersonal Skills :
Courtesy and tact is a significant part of the job in the exchange of information within the department
Developed communication and diplomacy skills to exchange complex information
Communicates sensitive information, modifies beliefs or opinions based on collective facts or direction that has been set
Requires a highly developed communications skills and ability to negotiate internally and often at higher levels. External communications may be a need but not a primary focus
Skilled communicator who influences and negotiates with great latitude on various outcomes for an entire Business/Segment/Function internally and externally
Skilled communicator who shapes the image of the company and perhaps the industry. Focus will be to present or defend delicate issues with internal and external audiences
Nature of Impact :
Impact is limited to self and/or project or team
Directly impacts the quality of services provided by self or others in related teams
Impacts quality, timeliness of results, planning and revenues or budgets of own team and related teams
Routinely impacts quality, timelines of results, planning and revenues or budgets of own team and related teams and frequently sets policies, procedures and standards
Leads and directly impacts the professional and/or technical direction and strategy for a discipline or a core product including shaping and designing new policies, procedures and standards
Defines and shapes the professional/technical direction and strategy for a core part of the business or an entire function
Leadership & Scope :
Manages own work with hands-on supervision
Manages own work with limited supervision. Provides on-the-job training/support to new team members
Manages own work and allocates or coordinates the work of others but does not have full management responsibilities. Focus of the oversight is limited to quality and completion of work or tasks
Works to contribute own results and has supervisory responsibility to review quality of work performed by others. Coaches and mentors staff but does NOT make hiring, compensation or performance decisions or discussions.
Primary focus of the role is managing a team of professionals will full management decisions including hiring, compensation and performance management decisions, budgets and planning
Primary focus of the role is managing multiple teams of professionals will full management decisions including hiring, compensation and performance management decisions, budgets and planning
Primary focus of the role is managing large teams or multiple teams with diverse activities including making decisions on hiring, compensation and performance management
Primary focus of the role is managing through subordinate managers with large and diverse teams