- New York, NY, USA
- Permanent, Full time
SVP/ VP - Corporate Compliance
Location: New York, NY, USA
- Provide Compliance advice and support to MSS functions, including Corporate Communications, Corporate Development, Enterprise Risk Management, Finance, Human Resources, Internal Audit, Information Technology, Legal, Compliance, Government & Public Affairs and The Moody's Foundation
- 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. Coordinate where appropriate with other BUCOs and Compliance professionals
- Support Moody's minority and majority owned affiliates by developing and maintaining risk and control assessments and coordinating and supporting in affiliate oversight
- Support due diligence efforts for MIS acquisitions and investments
- Support Enterprise Risk Management initiatives
- Support IT initiatives, including cybersecurity and Cloud-related initiatives
- Support procurement and outsourcing-related initiatives
- Advise employees on codes of conduct and policies and procedures regarding such matters as conflicts of interest, confidentiality, securities trading, gifts, outside business interests, 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 (including influencing without authority).
- Lead ad hoc projects and actively contribute to project teams on large-scale initiatives.
- 10-15+ years of experience as a compliance professional supporting diverse internal client groups with a demonstrated record of excellence
- Law degree or background in risk management/audit desirable
- Experience in fixed income, capital markets, credit environments, M&A and ERM preferred
- Effective oral 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, and also to work effectively within teams
- Competing demands on time from a diverse set of internal client groups require a high degree of flexibility and excellent time-management skills
- Must be able to develop credibility with business and compliance stakeholders, and work well under pressure
- Comfortable working in an environment of regulatory change
- Understanding of compliance functions is critical
- Highest ethical standards
- Professional, proactive, 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 time management skills
- Highly organized and efficient, with ability to multi-task and meet tight deadlines
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 email@example.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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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.