Assistant Vice President, Compliance - New York - 11439BR

Responsibilities:
  • Develop, execute and oversee continuous Compliance Surveillance testing of ratings documentation and processes for compliance with internal policies and procedures.
  • Review collected documentation for adequacy and appropriateness.
  • Oversee, track, validate, and report the status of the remedial efforts triggered by the Compliance Surveillance reviews.
  • Assist management in preparing periodic Compliance reports for senior management.
  • Participate in various compliance-related projects, as required.
Department: Compliance
Qualifications:
  • At least five years of compliance and/or audit experience focusing on compliance-related surveillance/examination activities.
  • Minimum of a Bachelor’s degree is required.
  • Strong written and oral communication skills with the ability to interact with senior management.
  • Financial institutions or capital markets environment experience.
  • Excellent interpersonal skills and team oriented.
  • Must be highly organized and efficient with the ability to multi-task and meet tight deadlines.
  • Must be able to work on own initiatives and effectively supervise others.
  • Multilanguage with the ability to translate documents is a plus.
  • Strong Microsoft Excel and Word skills.
  • Professional certifications such as CPA, CIA, or CFE are preferred.
Moody's is an essential component of the global capital markets, providing credit ratings, research, tools and analysis that contribute to transparent and integrated financial markets. Moody's Corporation (NYSE: MCO) is the parent company of Moody's Investors Service, which provides credit ratings and research covering debt instruments and securities, and Moody's Analytics, which offers leading-edge software, advisory services and research for credit and economic analysis and financial risk management. The Corporation, which reported revenue of $3.6 billion in 2016, employs approximately 10,700 people worldwide and maintains a presence in 36 countries. Further information is available at www.moodys.com.
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 accommodations@moodys.com.. This contact information is for accommodation requests only, and cannot be used to inquire about the status of applications.

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MIS and MSS Candidates are asked to disclose securities holdings pursuant to Moody’s Policy for Securities Trading. Employment is contingent upon compliance with the Policy, including remediation of positions in those holdings as necessary.