Let's begin! VP-Compliance

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. Moodys is transforming how the world sees risk. As a global leader in ratings and integrated risk assessment were advancing AI to move from insight to actionenabling intelligence that not only understands complexity but responds to it. We decode risk to unlock opportunity helping our clients navigate uncertainty with clarity speed and confidence.

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

• 9 years of experience within a financial industry regulator Compliance department of a regulated financial services firm predominantly in a regulatory Compliance capacity
• Ability to exercise judgment and critical thinking thoughtful and insightful approach to analysis identification and escalation of emerging issues and/or risks expeditiously
• Excellent communication skills both verbal and written with solid drafting skills and ability to interact with stakeholders at senior levels in the organisation
• Pro-active flexible diligent and dependable with excellent attention to detail
• Highly organized and efficient with the ability to work across multiple projects work independently under limited supervision and meet tight deadlines
• Excellent computer competence in Word and PowerPoint
• Basic understanding of artificial intelligence concepts with curiosity and enthusiasm for learning how AI tools can be used to improve processes and drive efficiency. Interest in exploring AI systems and a willingness to develop awareness of responsible AI practices including risk management and ethical use
  

Education

• Strong academic background including post-graduate 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 UK Compliance team in supporting regulatory engagement as well as implementing and administering the Companys compliance program. The individual will act as a senior Compliance Officer in a generalist advisory capacity. The role will involve:

• Leading on responses to regulatory requests including interacting with internal stakeholders to gather and review documents and drafting response letters
• Preparing materials and internal stakeholders for regulatory interactions including onsite visits
• Advising the business on business initiatives and participating in business remediation efforts
• Providing senior review of regulatory reports submitted to the relevant regulatory authorities
• Provision of day-to-day business advisory services in the region in coordination with the global and EMEA Compliance team
• Engage effectively with management at all levels and key stakeholders globally regarding supervisory and other general compliance matters
• Support the development implementation and administration of the companys compliance programme including Compliance risk assessment exercises
• Participating in other core Compliance responsibilities as necessary including policies review 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 UK Compliance advisory team who is responsible for implementing and administering the companys internal Compliance program across the UK region and closely interacts with EMEA Compliance team located outside the UK as well as Central Compliance functions primarily located in the US.

#LI-Hybrid

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.