Job description
Serve as the “Face of Compliance” in the role of Business Unit Compliance Officer (“BUCO”) for Moody’s Shared Services (“MSS”). In this role, you will be the chief point of contact on compliance matters for MSS, a diverse set of internal client groups who provide services and support to both Moody’s Investors Service and Moody’s Analytics, and other related matters. This is a high visibility position and one that requires a candidate with intelligence, excellent judgment, and strong oral and written communications skills.
Responsibilities:
Responsibilities:
- Provide Compliance advice and support to MSS functions, including Technology, Corporate Communications, Corporate Development, Enterprise Risk Management, Finance, Human Resources, Internal Audit, Procurement & Sourcing Group, Legal, Compliance, Government, Public & Regulatory Affairs and The Moody’s Foundation/Community Impact
- 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 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 Technology initiatives, including coordinating regulatory examinations and inquiries, as well 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
- Develop subject matter expertise in identified risk areas
- 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 and across teams
- High degree of flexibility and excellent time-management skills required to balance competing demands on time from a diverse set of internal client groups
- 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 judgment
- 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
- Proficient with PowerPoint and Excel, and other tools that enable visual representation of data and information
Compliance
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 or based on a sincerely held religious belief in accordance with applicable laws. If you need to inquire about a reasonable accommodation, or need assistance with completing the application process, please email accommodations@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.
This position may be considered a promotional opportunity, pursuant to the Colorado Equal Pay for Equal Work Act.
Click here to view our full EEO policy statement. Click here for more information on your EEO rights under the law. Click here to view our Pay Transparency Nondiscrimination statement.
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.
This position may be considered a promotional opportunity, pursuant to the Colorado Equal Pay for Equal Work Act.
Click here to view our full EEO policy statement. Click here for more information on your EEO rights under the law. Click here to view our Pay Transparency Nondiscrimination statement.
Moody’s is a developmental culture where we value candidates who are willing to grow. So, if you are excited about this opportunity but don’t meet every single requirement, please apply! You may be a perfect fit for this role or other open roles.
Moody's is a global integrated risk assessment firm that empowers organizations to make better decisions.
At Moody’s, we’re taking action. We’re hiring diverse talent and providing underrepresented groups with equitable opportunities in their careers. We’re educating, empowering and elevating our people, and creating a workplace where each person can be their true selves, reach their full potential and thrive on every level. Learn more about our DE&I initiatives, employee development programs and view our annual DE&I Report at moodys.com/diversity
Moody's is a global integrated risk assessment firm that empowers organizations to make better decisions.
At Moody’s, we’re taking action. We’re hiring diverse talent and providing underrepresented groups with equitable opportunities in their careers. We’re educating, empowering and elevating our people, and creating a workplace where each person can be their true selves, reach their full potential and thrive on every level. Learn more about our DE&I initiatives, employee development programs and view our annual DE&I Report at moodys.com/diversity
For US-based roles only: the anticipated hiring base salary range for this position is $224,600 to $326,700, depending on factors such as experience, education, level, skills, and location. This range is based on a full-time position. In addition to base salary, this role is eligible for incentive compensation. Moody’s also offers a competitive benefits package, including not but limited to medical, dental, vision, parental leave, paid time off, a 401(k) plan with employee and company contribution opportunities, life, disability, and accident insurance, a discounted employee stock purchase plan, and tuition reimbursement.
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