Compliance Assistant Vice President - London - 9105BR

The Role / Responsibilities:
The Compliance Assistant Vice President will work in an evolving regulatory environment and will assist the Compliance Department in developing, implementing and administering the company's compliance programme.

The individual will act as a Compliance Officer, assisting the Global and EMEA team with the following:
  • Responding to EMEA regulatory requests and filings,
  • Assisting and advising in preparing staff internally for regulatory exams
  • Developing and reviewing policies and procedures
  • Creating and providing training to staff
  • Conducting internal investigations
  • Interacting with the business in EMEA to provide advisory services
  • Assisting in preparation of periodic compliance reports.
  • Acting as a Local Compliance Officer with jurisdictional responsibilities for an MIS office
  • Participating in other core Compliance responsibilities including:
    • Supporting ongoing project implementation work through an evolving regulatory environment
    • Conducting risk assessments
The Department / Team
Moody's Compliance Department operates globally.

  • Excellent written and verbal communication skills.
  • Strong interest in compliance work.
  • Strong academics with a BA / BSc / Master’s Degree (or equivalent).
  • 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.
  • Must be willing to undertake some travel.
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 $3.5 billion in 2015, employs approximately 10,400 people worldwide and maintains a presence in 36 countries. Further information is available at
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 or any other characteristic protected by law.
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.