Manager Compliance

Role/Responsibilities

Moody’s is seeking an experienced Compliance Manager to support the processes within the Compliance Business Surveillance. The candidate will be responsible for developing test procedures related to Surveillance reviews supporting the rating processes.

Additional responsibilities for this position include:

• Lead and conduct testing and examinations of ratings processes for compliance with internal policies and procedures.
• Manage and develop test procedures related to Surveillance reviews supporting the ratings process.
• Review and Document workpapers for all reviews performed.
• Support Compliance Surveillance reviews while working with Compliance team member who are based in global locations based in NY, Lithuania, Latam, and India offices.
• Assist in the preparation of periodic and ad hoc compliance reports outlining the results of Compliance’s Surveillance program.
• Coach and develop junior level staff; provide feedback on performance.
• Provide advice and leadership in relation to compliance issues that arise.
• Develop creative solutions to enhance existing surveillance reviews.
• Establishing and maintaining relationships between business and stakeholders.

Qualifications

• Minimum of a Bachelor’s degree is required.
• 10+ years of compliance and/or audit experience focusing on compliance-related activities.
• Financial institutions or capital markets environment experience.
• 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.
• Strong written and oral communication skills in English. Multilanguage skills are a plus.
• Must be able to work on own initiatives, with limited supervision.
• Strong Microsoft Excel, PowerPoint, and Word skills including use of Excel Formulas and Pivot Tables.

*Hybrid schedule: 2 days in office, 3 days remote