Serve as the single point of coordination among compliance, legal and government and public affairs for analyzing and responding to new Commercial-initiated product developments and bespoke product requests for individual MIS customers Manage a compliance professional responsible for EMEA Commercial matters Advise Commercial employees on codes of conduct and policies and procedures regarding such matters as securities trading responsibilities, conflicts of interest, outside business interests, gifts and entertainment restrictions, separation, recordkeeping, and regulatory reporting requirements Training Commercial Group team members on compliance policies and procedures Delivering and reinforcing compliance-initiated communications relating to new developments such as revisions to policies and procedures, new or enhanced requirements and controls, etc. Coordinate with other Business Unit Compliance Officers and with local compliance officers to ensure consistent, timely and accurate responses to inquiries Provide critical subject matter expertise for pertinent compliance policies and procedures as well as identified risk areas Assist the Commercial Group in responding to regulatory examination and other inquiries Spot issues, analyze compliance exception trends, and recommend remedial actions to senior management within the assigned line of business Represent compliance at staff meetings Demonstrate strong decision-making skills, as well as influencing ability Lead ad hoc projects and actively contribute to project teams on large-scale initiatives
Qualifications Required 10-15+ years of experience as a compliance professional supporting internal business groups with a demonstrated record of excellence Law degree of background in risk management/audit desirable Experience in fixed income, capital markets, credit environments preferred Strong and effective oral and written communication skills, including active listening skills and skills at creating and delivering training and topical presentations to teams, groups, and members of senior management Affinity for project work and problem-solving, with proven track record in identifying and analyzing relevant considerations, developing sound recommendations and presenting findings and recommendations in a clear and concise manner Ability to take initiative and work with minimal supervision on independent assignments, and also to work effectively with teams Competing demands on time from a diverse set of internal employees require a high degree of flexibility and excellent time management skills Must be able to develop credibility with business and compliance stakeholders, and work well under pressure Comfortable working in an environment of regulatory change
Preferred Understanding of compliance functions is critical Highest ethical standards Professional, proactive, flexible, diligent and dependable Excellent relationship development and management skills Well organized, detail oriented with excellent follow-up skills essential Strong documentation and time management skills Highly organized and efficient, with ability to multi-task and meet tight deadlines Proficient with Powerpoint, Excel, and other tools to assist in presentations and communications
Moody's is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, sex, gender, age, religion, national origin, citizen status, marital status, physical or mental disability, military or veteran status, sexual orientation, gender identity, gender expression, genetic information, or any other characteristic protected by law. Moody's also provides reasonable accommodation to qualified individuals with disabilities in accordance with applicable laws. If you need to inquire about a reasonable accommodation, or need assistance with completing the application process, please email email@example.com.. This contact information is for accommodation requests only, and cannot be used to inquire about the status of applications.
For San Francisco positions, qualified applicants with criminal histories will be considered for employment consistent with the requirements of the San Francisco Fair Chance Ordinance. For New York City positions, qualified applicants with criminal histories will be considered for employment consistent with the requirements of the New York City Fair Chance Act. For all other applicants, qualified applicants with criminal histories will be considered for employment consistent with the requirements of applicable law.
Click here to view our full EEO policy statement. Click here for more information on your EEO rights under the law.
Candidates for Moody's Corporation may be asked to disclose securities holdings pursuant to Moody's Policy for Securities Trading and the requirements of the position. Employment is contingent upon compliance with the Policy, including remediation of positions in those holdings as necessary.
Internal Number: 5857830
eFinancialCareers is a career site specializing in financial services.