Senior Compliance Associate - New York - 9658BR

  • Perform continuous testing and examinations of ratings documentation for compliance with internal policies and procedures.
  • Work with Rating Groups and Operations senior management to develop , track, and validate remediation plans.·
  • Prepare periodic and ad hoc compliance reports outlining the results of Compliance’s Surveillance program and present results to Compliance Officers and senior management.
  • Work with the Compliance Surveillance Team, Rating Teams, Legal and Internal Audit to enhance the Surveillance Program.
  • Develop creative automated solutions to address testing needs and present information in a concise and comprehensible manner.
  • Minimum of a Bachelor’s degree is required.
  • Strong written and oral communication skills with the ability to interact with senior management.
  • At least three years of compliance and/or audit experience focusing on compliance-related activities.
  • Financial institutions or capital markets environment experience.
  • Direct regulatory experience is highly desired.
  • Professional, pro-active, flexible, diligent and dependable.
  • 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, with limited supervision.
  • Multilanguage with 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 $3.5 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, 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 This contact information is for accommodation requests only, and cannot be used to inquire about the status of applications.

For San Francisco positions, qualified applicants with criminal histories will be considered for employment consistent with the requirements of the San Francisco Fair Chance Ordinance. For New York City positions, qualified applicants with criminal histories will be considered for employment consistent with the requirements of the New York City Fair Chance Act. For all other applicants, qualified applicants with criminal histories will be considered for employment consistent with the requirements of applicable law.

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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.