AVP-Compliance&Reg Affairs Moody's Local

At Moody's, we unite the brightest minds to turn today’s risks into tomorrow’s opportunities. We do this by striving to create an inclusive environment where everyone feels welcome to be who they are-with 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.

• 8years of compliance and/or regulatory affairs experience at a financial industry regulator or regulated financial services firm.
• Strong written and oral communication skills; fluent in English and Spanish, both verbal and written.
• Professional, pro-active, flexible, diligent and dependable.
• Excellent interpersonal skills and team oriented.
• Must be highly organized with attention to detail and the ability to multi-task and meet tight deadlines.
• Ability to adapt to changing business and regulatory environments.
• Must be able to work on own initiatives, with limited supervision.
• Unquestionable personal code of ethics, integrity, inclusion and trust.
• Strong Microsoft Excel, PowerPoint, and Word skills.

Education

• Bachelor's degree or higher in business, law or other finance related discipline.
• AML Certification a plus

Responsibilities

• Coordinate compliance and regulatory affairs efforts in Mexico, Peru, Panama, Bolivia and other jurisdictions to be specified in alignment with Moody’s Local regional standards, ensure Moody's Local entities are meeting domestic regulatory requirements, and facilitate escalation and appropriate resolution of compliance and regulatory issues.
• Act as the designated deputy compliance officer and deputy liaison with regulators in Mexico, Peru, Panama and Bolivia and other jurisdictions to be specified, respond to supervisory inquiries, prepare all periodic compliance reports, and prepare internal staff for regulatory examinations.
• Support the development and management of anti-money laundering (AML) compliance frameworks in jurisdiction to be specified, and act as designated AML Compliance Officer as required.
• Identify, analyze and report policy and regulatory developments that could affect the Moody’s Local businesses in each relevant jurisdiction, contribute to the drafting of responses to consultation papers and other policy-related submissions, and manage any regulatory change.
• Support the successful development and implementation of codes of conduct, compliance policies and procedures in alignment with Moody’s Local regional standards, and advise employees on their implementation, including with respect to securities trading, gifts, outside business interests, confidentially, separation, recordkeeping and regulatory disclosures.
• Contribute as necessary to the drafting of talking points and briefing packages for meetings with regulators, government bodies and standard setters to advocate for Moody’s policy positions and in support of strategic projects.
• Support the compliance surveillance and investigations team where necessary.
• Assist in the preparation and delivery of training materials and presentations as necessary.
• Carry out compliance risk assessments and identify actions that the company must take to mitigate those risks.
• Report to Moody’s Local boards of directors and senior management on a periodic and ad hoc basis.
• Assist in other compliance and regulatory affairs tasks as required to ensure team objectives are achieved.

About the team

The AVP Compliance and Regulatory Affair will support the expanding regional remit of the ML Compliance and Regulatory Affairs team. This role’s main focus will be to assist the Primary Compliance and Regulatory Officer for these jurisdictions to support the Moody’s Local businesses in identifying and navigating regulatory and reputational risks and opportunities. Support the Moody’s Local rating businesses in Latin America, with a particular focus on Mexico, Peru, Panama and Bolivia. Based in Mexico City, this role will be part of the Moody’s Local Compliance and Regulatory Affairs team within Moody’s Global Compliance and report to the Primary Compliance and Regulatory Officer for these jurisdictions in Lima, Peru.

Moody’s 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 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.

For more information on the Securities Trading Program, please refer to the STP Quick Reference guide on ComplianceNet

Please note: STP categories are assigned by the hiring teams and are subject to change over the course of an employee’s tenure with Moody’s.