SVP Business Unit Compliance Officer

January 9, 2021
New York, NY
Job Type


Reporting to the MD, Designated Compliance Officer, Americas, (“MD, DCO Americas”) of Company Investors Service, the SVP – Business Unit Compliance Officer (BUCO) will work with the global business unit in Structured Finance. Company Structured Finance Group brings knowledge from throughout their operations to bear in rating and developing market-leading research in the structured market. Their deep and broad understanding of the markets allows them to see risks and opportunities that may not be readily apparent to all structured finance market participants.

The group covers five main areas:  Asset-Backed Commercial Paper (ABCP), Asset-Backed Securities (ABS), Commercial Mortgage-Backed Securities (CMBS), Residential Mortgage-Backed Securities (RMBS), and Collateralized Debt Obligations (CDO)/Derivatives.

The BUCO will work with Compliance associates in EMEA and Asia-Pac, and is responsible for coordinating global coverage for this business. He/She will work with the MD, DCO, Americas and the Corporate Compliance functions to implement and coordinate compliance strategy. The ideal candidate will partner directly with line of business executives to proactively implement processes, methodologies and procedures to create repeatable and enforceable best practices.

Specific responsibilities include:

  • Acts as interface with the ratings agency business line head and his/her organization, to direct and coordinate all compliance-related activities for the line of business.
  • Acts as the single point of contact for the Structured Finance business unit and compliance.
  • Liaison to the business for all central compliance functions, including investigations, training, policies, compliance surveillance, securities trade monitoring and IT compliance deliverables. 
  • Works closely with Structured Finance to develop a culture of compliance within the organization.
  • Responsible for the delivery of training within Structured Finance.  Responsible for coordinating all project management with central compliance functions.
  • Responsible for collating data necessary for presentation to regulators and/or board presentation, including obtaining required information for NRSRO filings.
  • Responsible for daily compliance advice to the line of business, and for escalation of issues within Compliance when required.
  • Responsible for coordination of global compliance efforts within Structured Finance.
  • Responsible for global coordination of all activity for Structured Finance with regional compliance officers.


  • At least 10-15 years of related experience, which may include staff management and/or management of significant projects with inter-business impact.
  • At least 8 years of compliance experience in financial services or related industry (broker-dealer, fixed income, credit rating environment, investment banking).
  • Strong written and communication skills.
  • Strong understanding of Structured Finance.
  • Must be able to work independently, with limited direction.
  • The ability and experience working with senior executives with a high level of comfort/confidence.
  • Experience working across global geographies.
  • The experience succeeding in a complex organization; coordination of efforts.
  • Strong, confident leadership skills with high intellect
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