• Competitive
  • Frankfurt am Main, Hessen, Germany
  • Permanent, Full time
  • Moody's
  • 23 Mar 18

Senior Vice-President - Compliance Officer

Location: Frankfurt am Main, Hessen, Germany

The SVP - Compliance officer will report to the Managing Director, DCO EMEA and will manage the operation of Moody's compliance operations and staff in the EU.
The successful candidate will work in an evolving regulatory environment, directly managing Moody's regulatory interactions in the EU and overseeing the development, implementation and administration of the company's internal compliance and supervisory program across the EU.
This position will coordinate regulatory responses and support the broader work of the EMEA Compliance function.

  • Manage EU Compliance staff to oversee responses to regulatory supervision, including responses to information requests, management of regulatory examinations and Compliance oversight of any remediation.
  • Assist with the coordination of the EU team's development, implementation and administration of the Company's broader compliance programs within the EU.
  • Develop processes and procedures to implement compliance policies based on local requirements in particular with respect to the new regulatory environment in the EU.
  • Assist in the preparation of regular compliance reports to senior management and the non executive Directors of the EU Supervisory Boards.
  • Assist in the oversight of regulatory reviews and enquiries, as required.
  • Run compliance related projects and participate in business led initiatives by providing guidance and advice as a subject matter expert.
  • Interact closely with the global compliance team on a variety of compliance matters and topics.
  • Guide and oversee the provision of Compliance advice to the business.
  • Maintain up to date knowledge of applicable policies, procedures, regulations and rules to ensure capability and to be seen as a subject matter expert in compliance.
  • Interact with senior management, government and public affairs, legal and audit employees globally.
  • Evaluate and, as appropriate, respond to alleged violations of rules, regulations, policies, procedures, and standards of conduct.
  • Oversee the EU team's day-to-day compliance guidance and advice to lines of business.

Moody's compliance function operates globally to provide compliance guidance and oversight of the Company's compliance program.


  • Must have in depth experience dealing with the supervisory authorities or financial stability regulators and preferably have held A CF10 position or equivalent.
  • At least 12 years experience of post-qualification experience gained in compliance and/ or regulatory environment.
  • Must be degree educated (or equivalent), preferably gained in a Finance related or legal discipline (an advanced degree and or compliance certification).
  • Demonstrated ability to manage complex, cross-departmental analytical and writing projects
  • Excellent analytical skills
  • Management experience is highly preferred.
  • Excellent interpersonal skills
  • Must have fluency in both written and oral English.
  • Broad exposure to financial institutions or capital markets environment would be highly desirable.
  • Demonstrated ability to handle multiple tasks with shifting deadlines and priorities under limited supervision.
  • Comfortable in a multi-cultural and international work environment.
  • Evidence of thoughtful and insightful approach to issues.
  • Demonstrated ability to interact effectively, internally and externally, with the most senior representatives of organizations

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 $3.6 billion in 2016, employs approximately 10,700 people worldwide and maintains a presence in 36 countries. Further information is available at www.moodys.com.

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.

Candidates for Moody's Corporation may be asked to disclose securities holdings pursuant to Moody's Policy for Securities Trading and the requirements of the position. Employment is contingent upon compliance with the Policy, including remediation of positions in those holdings as necessary.

Frankfurt am Main, Hessen, Germany Frankfurt am Main Hessen DE