AVP Compliance - Hong Kong - 14557BR

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 $4.2 billion in 2017, employs approximately 11,900 people worldwide and maintains a presence in 41 countries. Further information is available at www.moodys.com.
APAC Compliance
The Role / Responsibilities:
Moody's compliance function operates globally to provide compliance support, training, and surveillance to its business lines. This role will be directly reporting to and working closely with the Head of Compliance in Hong Kong, and will be primarily responsible for providing managerial and technical support for execution of Compliance responsibilities for the Hong Kong hub.
  • Planning and executing various compliance initiatives, often in a managerial role
  • Planning and executing compliance training
  • Ability to assume managerial, leadership, mentor role as Senior Compliance Officer
  • Providing technical and managerial support for local compliance needs as required
  • Coordinating and interfacing with Global Compliance teams and BUCOs
  • Supporting compliance efforts outside of jurisdiction and region as may be directed
  • Participating in and contributing to local / team / group / corporate discussions
  • Developing and managing implementation projects
  • Performing other duties as may be instructed by management
  • Interfacing with external parties, particularly regulators, as may be required.



  • Bachelor degree or higher in business, law or other finance related discipline
  • Qualifications or licenses in law, accounting or compliance are highly desirable
  • More than 5 years in one of the following:
    • Compliance Officer, or regulatory affairs, internal audit, or legal departments, or a combination thereof, in a global financial institution can be considered.
    • Prior experience in the Securities Futures Commission and/or law enforcement functions will be a plus
    • In the practice of law, either as a licensed attorney, or foreign attorney practicing in an Asia Pacific jurisdiction. Legal experience in finance related sector is desirable.
  • Considerable exposure to securities regulators, securities regulations and financial crime
  • Any portion of the above relating to securities-related matters are advantageous
  • Knowledge and experience in PRC regulatory environment will be an advantage
Key Skills
  • Highest Ethical Standards
  • Professional demeanor, pro-active, flexible, diligent, and dependable
  • Excellent interpersonal, leadership, and management skills to enable skillful interaction with internal, external, and regulatory parties
  • Influencing and negotiation skills
  • Excellent verbal and written communication skills. Oral and written proficiencies in Putonghua / Cantonese preferred
  • Ability to adapt to changing market conditions and business environment
  • Enthusiasm and ability to learn, ability to work independently and effectively within a team
  • Highly organized and efficient, with an ability to multi-task and meet tight deadlines
  • Steady, Calm and positive under pressure


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.