The VP - Compliance Officer will work in an evolving regulatory environment and will assist the Compliance Department in developing, implementing and administering the Company's compliance program.
The individual will act as a Compliance Officer in a generalist capacity with jurisdictional responsibility as a local compliance officer for one or more Moody’s offices in EMEA.
The role will involve:
- Travel to the relevant office(s) to provide advisory support to staff and management in the jurisdiction,
- Preparation and presentation of internal board reports,
- Provision of day-to-day business advisory services in the region in coordination with the global and EMEA compliance team,
- Supporting Compliance management of regulatory requests, including internal preparation for regulatory exams, supporting document requests, participation in business remediation efforts and advising business and management on regulatory responses,
- Supporting the firm’s securities training programm,
- Developing and reviewing policies and procedures,
- Creating and providing training to staff in conjunction with the training unit,
- Conducting internal investigations,
- Working with staff to provide compliance support to jurisdictions throughout EMEA.
- Leading or participating in various Compliance projects and initiatives,
- Assisting in the preparation of periodic compliance reports.
- Participate in other core Compliance responsibilities including, among other things, the preparation and negotiation of regulatory applications and providing Compliance guidance for business initiatives.
MIS - Compliance Department
- Excellent written and verbal communication skills.
- Strong interest in compliance work.
- Experience within a financial industry regulator, law firm and/or compliance department of a regulated financial services firm.
We will also be looking for the individual to have the following skills;
- Highest ethical standards.
- Professional, pro-active, flexible, diligent and dependable.
- Computer competence in Word, Excel, and PowerPoint.
- Ability to exercise judgment.
- Excellent interpersonal skills.
- Strong probative skills.
- Ability to adapt to changing business and regulatory environments.
- Ability to work effectively and supportively within a team.
- Ability to work independently in EMEA and as part of an EU and global team.
- Strong attention to detail.
- Highly organized and efficient, with administrative skills and the ability to multi-task and meet tight deadlines.