Manager Compliance

Moody’s is seeking an experienced compliance professional to support the processes within the Compliance Securities Trade Monitoring Unit. This function will include securities trade monitoring and the surveillance of employee trading activity to identify and prevent conflicts of interest and the misuse of confidential information.

The candidate will be responsible for administering Moody’s Securities Trading Policy and associated Standard Operating Procedures, assessing employee securities transactions and holdings for potential conflicts, managing restricted lists, and providing assistance on research related matters.

Additional responsibilities for this position include:

• Participate in all aspects of the day-to-day operations of the Securities Trade Monitoring Unit
• Provide oversight and maintenance of employee securities trading classifications, restricted lists, and exempted securities in the FIS Protegent PTA platform
• Research securities, such as global equities, bonds, and mutual funds, for assignment to restricted lists
• Manage daily monitoring of employee trades, including pre & post trade clearance, statement review, and account maintenance
• Maintain books and records relating to the Securities Trade Monitoring Unit
• Identify and conduct investigations for potential exceptions
• Analyze data to generate ongoing reviews and reports
• Respond to queries from employees
• Provide advice and guidance to monitored employees and Compliance teams related to the Moody’s Securities Trading Program
• Assist in other compliance tasks as required to ensure team objectives are achieved

Qualifications

• Minimum of a Bachelor’s degree is required.
• Strong written and oral communication skills.
• Five to seven years of compliance experience related to employee securities trading activities.
• Professional, pro-active, flexible, diligent and dependable.
• Excellent interpersonal skills and team oriented.
• Must be highly organized with attention to detail and 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, PowerPoint, and Word skills including use of Excel Formulas and Pivot Tables.