Department: Moody's compliance function operates globally to provide compliance support, guidance and implementation to its business lines. Responsibilities: The AVP - Compliance officer will work for an entity operating in an evolving regulatory environment and will be responsible for
Responsibilities
Department: Moody's compliance function operates globally to provide compliance support, guidance and implementation to its business lines. Responsibilities: The AVP - Compliance officer will work for an entity operating in an evolving regulatory environment and will be responsible for assisting the compliance officers in developing, implementing and administering the company's internal compliance function. This position reports to the global head of compliance. Key Responsibilities: -Support compliance officers on various projects and initiatives. -Serve as project manager for new hire compliance with procedures under the company's securities trading policy. This will entail distribution and collection of documentation, including follow-up steps. -Assist in all facets of compliance monitoring and surveillance, including testing activities and reviewing exception reports. -Assist in the preparation of presentations and training materials and take on a portion of the delivery of training sessions. -Assist in regulatory reviews. -Assist in preparation of periodic compliance reports for internal use.
Qualifications
-Strong academic background, including a college degree. -Advanced degree and compliance certification a plus. Experience: -3 or more years of experience in a compliance role in a regulated financial services firm desired. -Experience with a compliance examiner a 'plus.' -Prefer candidates with experience in surveillance, in one or more of the following areas: email, monitoring, conflict issues, or securities trading activities by employees. Key Skills: -Highest ethical standards. -Professional, pro-active, flexible, diligent and dependable. -Excellent verbal and written communications skills. -Excellent interpersonal skills. -Ability to adapt to changing market conditions and business environment. -Ability to work effectively and supportively within a team. -Ability to work independently -Enthusiasm and ability to learn. -Highly organized and efficient, with ability to multi-task and meet tight deadlines.
Equal Employment Opportunity
We are an equal opportunity employer M/F/D/V. Moody's takes pride in maintaining a balanced and diverse workforce and actively seeks out people who enrich our talent pool.
