Manage the preparation for, and conduct of, regulatory examinations
Draft any compliance reports required by European regulatory authorities
Report on existing and emerging compliance issues and risks to the CCO
Foster, and maintain, a good working relationship with ESMA, compliance colleagues, members of other internal control functions and business management
Support the CCO to implement compliance component on development of new business processes, and on changes to current business processes arising from changes to European regulations
Assist the CCO in overseeing compliance program to ensure alignment with European regulatory frameworks and provide ongoing assurance of adherence to Sustainalytics’ policies and procedures
Provide advice and guidance to management on matters relating to conduct and compliance, including identifying areas of compliance vulnerability and risk, based on findings of compliance reviews
Enhance standard procedures for the intake (including for anonymous reporting and complaints from third parties), investigation, escalation and reporting of potential compliance related incidents relating to Sustainalytics to ensure that they are appropriately and consistently evaluated, investigated and resolved
Maintain records of any violation reports received, including details of any actions taken
Contribute to ongoing development of Compliance team by sharing best practices, knowledge, expertise and lessons learned on a regular basis
Assist with the development, maintenance and delivery of compliance materials and training
Assist with the continuous improvement of global compliance programs
Maintain compliance files and records
Implement and maintain policies and procedures for the general operation of the global compliance program within Sustainalytics.
Requirements
Significant experience (around 6 years or more) in compliance / regulatory control processes developed in Internal Audit in the Financial Services, Accounting or Legal professions
Experience interacting with and responding to regulatory inquiries, ideally with EU regulatory bodies
Experience in designing and implementing compliance / regulatory policies and procedures
Experience managing compliance teams
Advanced communication skills (verbal and written) to report regulatory compliance information
Strong analytical and investigative skills and sound judgment
Understanding/experience of ESG risk rating business would be an advantage
A degree, especially in law or similar discipline is a plus
Benefits
hybrid work environment
opportunity to collaborate in-person
range of other benefits available to enhance flexibility as needs change
tools and resources to engage meaningfully with global colleagues
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