Lets begin Compliance Assistant Vice President 7363
Lets begin Compliance Assistant Vice President 7363
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Job Description
At Moodys we unite the brightest minds to turn todays risks into tomorrows opportunities. We do this by striving to create an inclusive environment where everyone feels welcome to be who they arewith the freedom to exchange ideas think innovatively and listen to each other and customers in meaningful ways.
If you are excited about this opportunity but do not meet every single requirement please apply! You still may be a great fit for this role or other open roles. We are seeking candidates who model our values: invest in every relationship lead with curiosity champion diverse perspectives turn inputs into actions and uphold trust through integrity.
Skills and Competencies
- 6 years of experience within a Compliance department of a regulated financial services firm with focus on advisory or regulatory Compliance or within a financial industry regulator
- Ability to exercise judgment and critical thinking thoughtful and insightful approach to analysis identification and escalation of emerging issues and/or risks expeditiously
- Excellent fluent verbal and written communications skills in English ability to interact with stakeholders at different levels in the organisation and solid drafting skills
- Proactive flexible diligent and dependable with high attention to details
- Highly organized and efficient with the ability to multitask work independently under limited supervision and meet tight deadlines
- Excellent computer competence in MS Excel and PowerPoint
Education
Strong academic background including master degree preferably in law
Responsibilities
The Compliance Officer will work in an evolving regulatory environment and will assist the Compliance Department in particular the EU Compliance team in supporting regulatory engagement in EU as well as implementing and administering the Companys compliance program. The individual will act as a Compliance Officer in a generalist advisory capacity primarily supporting Head of EU Compliance and Local Compliance Officers based in France and Germany.
The role will involve:
- Supporting responses to regulatory requests including preparing materials for internal preparation of staff for regulatory interactions drafting regulatory responses interacting with internal stakeholders to gather documents that are responsive to regulatory requests advising the business and participating in business remediation efforts
- Supporting Compliance regulatory engagement (preparation review submission of the regulatory reports to the relevant regulatory authorities)
- Provision of daytoday business advisory services in the region in coordination with the global and EMEA Compliance team
- Leading or participating in Compliance projects and initiatives as well as providing guidance on business initiatives
- Preparing Compliance presentations to staff and supporting team management and board reporting
- Participating in other core Compliance responsibilities as necessary including policies review and drafting and training.
About the team
Moodys Compliance function operates globally to provide Compliance support guidance and implementation to its business lines. This role is part of the EU Compliance advisory team who is responsible for implementing and administering the companys internal Compliance program across the EU region and closely interacts with Central Compliance functions primarily located in the US.
Moodys is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race color religion sex national origin disability protected veteran status sexual orientation gender expression gender identity or any other characteristic protected by law.
Candidates for Moodys Corporation may be asked to disclose securities holdings pursuant to Moodys 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.
Required Experience:
Chief
Employment Type
Full Time
