HR Associate, Licensing Administrator

The HR Associate, Licensing Administrator is responsible for adminis tering the licensing application, de-registration, transfers, and change notifications for Moody's licensed representatives in Hong Kong and Singapore. Responsibilities include:

» Significant roles and responsibilities are listed below:

1. Hong Kong SFC Licensing:

o License procurement for licensed representatives and/or responsible officers including the follow-up of SFC competency test results

o Support for MIS directorship reporting to SFC; ensuring ongoing obligations are satisfied such as director's external directorships/OBI are reflected under the guidance provided by Compliance

o Maintain SFC Licensed Master List & Moody's HK Licensed Analysts outlook email distribution list

2. Singapore MAS Licensing:

o License procurement for licensed representatives and/or responsible officers

ü External Background Check for new hires and overseas analysts

ü Initiate Employment Pass (EP) Application for overseas analysts or new hires requiring EP

ü Initiate Secondment Letter for overseas analysts

ü Internal Background Check for new hires and overseas analysts

ü Statutory Declaration

ü Submit License Application

o Support for appointment of CEO and directors excluding contacts with MAS

o Maintain MAS Licensed Master List & Moody's SG Licensed Analysts outlook email distribution list

3. Monthly Certification Program for all SFC and MAS Licensed Representatives:

o Send monthly change in particulars notification email with 3 voting buttons

o Follow escalation process for no voting response from licensed representatives

o Inform Compliance for any late notifications

o Provide "Monthly Licensing Dashboard" to HK Compliance* on the15th of every month showing the no. of respondents for the monthly notification email, names of analysts who have changes in personal particulars and the type of changes; need to verify the information gathered by asking for evidence (PDF notification submission record) from licensed representatives before providing the dashboard to Compliance

4. Weekly Reconciliation

o Conduct weekly reconciliation of residential address stored in Workwise by comparing the record last week and this week; follow up with licensed representatives to notify SFC / MAS the changes

5. Interaction between LA and Global Mobility Team

o Receive weekly email from Global Mobility Team if there are personal particular changes (including nationality & passport no.) of the licensed representatives; follow up with licensed representatives

6. Regulatory Notification

o SFC Notification - Performed by licensed representatives; LA gather notification submission record

o MAS Notification - LA prepare notification to change particulars, obtain required approvals and submit via MASNET

7. SFC Annual Return in Jun every year

o On Jun 1 every year, send SFC Annual Return reminder email to all SFC licensed representatives to submit their annual return on/before July 1

o Check submission results (PDF annual return records) on SFC online portal; inform Compliance for any late notifications

o Submit MISHK annual return via physical form within one month after each anniversary date of the license

8. MAS Annual Reconciliation in Q4 every year

o In Q4 every year, extract personal data records of MAS licensed representatives from MASNET

o Send email to MAS licensed representatives with personal data records, request them to review and confirm their personal details are up to date

o Perform MAS notification for any personal data changes; inform Compliance for late notifications

9. License Cessation

o Check weekly update email provided by HR Connect regarding licensed analyst ceasing employment with Moody's

o SFC and MAS license cessation - LA prepare, obtain required approvals and submit to SFC via DHL within 7 business days or MAS via MASNET with 1 business day after licensed representatives cease providing credit rating services; make changes in Licensed Master Lists and outlook email distribution lists

10. Background Check for SFC Licensed Representatives

o Notify Compliance and the managers of licensed representatives when there are any negative results for the background check of SFC licensed representatives

11. Licensing Status Update to Internal Stakeholders
        • Provide "Licensing Weekly Update" email to Compliance and PDT regarding licensing status updates for new hires, transfers and termination
        • Provide "Quarterly Licensing Statistics" email to Compliance regarding no. of new SFC / MAS license obtained, no. of de-registration and no. of change in particulars notifications submitted
        • Extract the list of Singapore visiting analyst from the MAS Licensed Master List and send out to Finance Team on the15th of every month
12. License Fee Payment
        • Work with Finance and relevant parties to ensure that any SFC / MAS corporate annual fees and individual license annual fees are made
13. Onboarding for New Joiners and Transfers
        • Support onboarding based on one-pager "SFC Licensing Requirement and MIS Certification Test" document in the APAC new hire pack or email templates prepared by HR
14. Regulatory Interaction
        • For HK, liaise directly with the licensing case officer within SFC for license application filing and escalate any potential issues/queries to Compliance in a timely manner; LA should always keep Compliance informed of their interactions with SFC
        • For Singapore, be the central administrator of MIS Singapore's Lotus Notes email account and is responsible for checking and disseminating to relevant internal stakeholders of any MAS correspondences or communication via this channel


The HR Service Delivery function is responsible for managing HR operational processes for employees and managers, including transaction processing, routine employee and manager inquiries, employee benefits, payroll administration (APAC/EMEA), reporting and analytics, as well as the management of HR systems and projects.

• Bachelor's degree or equivalent required.

• Strong organizational skills and attention to detail

• Excellent interpersonal and communication skills required

Competency required with MS Office software suite including Excel and Word.

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 $3.5 billion in 2015, employs approximately 10,400 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.

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