VP-Compliance Associate - New York - 9718BR

Serve as the “Face of Compliance” in the role of Business Unit Compliance Officer for MIS’ Ratings & Research Support Organization (“RRS”). In this role, you will be the chief point of contact on compliance matters for RRS, a newly established organization within MIS. This is a high visibility position and one that requires a candidate with intelligence, excellent judgment, and strong oral and written communications skills.

Responsibilities:
  • Coordinate compliance efforts globally through a network of regional compliance associates and centralized compliance functions. Support successful implementation of policies and procedures, promote consistency across jurisdictions, and facilitate escalation and appropriate resolution of compliance issues.
  • Advise employees on Codes of conduct and policies and procedures regarding such matters as securities trading, gifts, outside business interests, confidentially, separation, recordkeeping and regulatory disclosures
  • Represent compliance at staff meetings. Provide succinct updates, communicate on new and revised policies and procedures, and present on compliance topics of interest to the business.
  • Spot issues, analyze compliance exception trends, and recommend remedial actions to senior management within assigned lines of business.
  • Serve on a policy review committee and take ‘ownership’ for the accuracy and completeness of a set of policies and procedures.
  • Demonstrate strong decision making skills, as well as influencing ability.
  • Lead ad hoc projects and actively contribute to project teams on large-scale initiatives.
Compliance
Qualifications:
  • 5-10+ years of experience in compliance-related field.
  • MBA, law degree or background in risk management/audit desirable.
  • Experience in fixed income, capital markets, or credit environments required.
  • Effective verbal and written communication skills, including active listening skills and skills at creating and delivering training and topical presentations to teams, groups, and members of senior management.
  • Affinity for project work and problem-solving, with proven track record in identifying and analyzing relevant considerations, developing sound recommendations, and presenting findings and recommendations in a clear and concise manner.
  • Ability to take initiative and work with minimal supervision on independent assignments, but also to work effectively within teams.
  • Competing demands on time require a high degree of flexibility and excellent time-management skills. Willingness to respond to urgent queries from Asia during evening hours when necessary.
  • Must be able to develop credibility with business and compliance stakeholders, and work well under pressure.
  • Comfortable working in an environment of regulatory change.
Key Skills:
  • Highest ethical standards.
  • Professional, pro-active, flexible, diligent and dependable.
  • Excellent oral and written communications skills.
  • Excellent relationship development and management skills
  • Well organized, detail oriented with excellent follow up skills essential.
  • Strong documentation and file management skills.
  • Highly organized and efficient, with ability to multi-task and meet tight deadlines.
  • Visio, PowerPoint for - graphs, charts and/or visual representation of data and information.
  • Understanding of compliance functions is critical.
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 atwww.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 emailaccommodations@moodys.com.. 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.