• Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Moody's
  • 19 Sep 17

Senior Compliance Associate (SCA)

Location: New York, NY, USA

The Role / Responsibilities:
The Senior Compliance Associate will work as a project manager in an evolving regulatory environment within the Global Compliance Project Management and Regulatory Filings team.
The individual will assist the Compliance team by managing projects related to regulatory examinations, regulatory examination remediations, regulatory filings, regulatory requests for information in jurisdictions throughout the Americas region, and by managing other compliance projects as requested. The Senior Compliance Associate will be responsible for:
• Managing effectively the compliance projects assigned to him/her
• Developing and maintaining project plans while working with local Compliance officers in the delivery of accurate and timely regulatory filings, remediation efforts, and exam or ad-hoc regulatory inquiries
• Obtaining data inputs from various stakeholders across the firm to satisfy regulatory requirements
• Managing multiple, concurrent projects at a time while adhering to the core project management processes and procedures within the team and maintaining a high level of control, quality and consistency for all assigned projects
• Defining and articulating clearly project scope, milestones, dates with minimal oversight
• Ensuring efficient and effective project delivery through the use of project meetings, follow-ups, detailed and well thought out scheduling/planning efforts, identification of risks, and the production of quality project artifacts
• Managing project documentation in centralized data repository
• Providing analysis, recommendations, and assistance with implementation of process improvements within the Compliance Project Management and Regulatory Filings team
• Developing and maintaining effective working relationships within the Compliance department and with other internal and external stakeholders, including but not limited to, Compliance, Government and Public Affairs, Legal, Credit Strategy and Standards, Finance, Global Operations, MIT, Lines or Business and Regional Management
• Providing accurate and timely weekly project updates using a centralized reporting system
• Supporting the US and LATAM Compliance team as requested in various projects and initiatives
• Assisting in the preparation of periodic management reporting
• Preparing weekly status reports and management dashboards
• Participating in cross team initiatives within the department as requested

The Department / Team
Moody's Compliance Department operates globally with reporting line located in New York.


• At least 3 years solid experience as a project manager within a financial industry regulator, law firm, and/or compliance department of a regulated financial services firm, or within a PMO organization working on Compliance (non-IT) projects
• Reporting experience, regulatory reporting a plus
• Strong interest in compliance work
• Strong academics with a BA / BSc / Master's Degree (or equivalent)
• Strong attention to detail
• Well organized and efficient, with the ability to multi-task and meet tight deadlines in a highly regulated environment
• Knowledge and practice of project management guidelines and principles (PMP or similar designation preferable)
We will also be looking for the individual to have the following skills;
• Highest ethical standards
• Professional, pro-active, flexible, diligent and dependable
• Computer competence in Word, Excel, PowerPoint and Sharepoint (Visio a plus)
• Ability to problem solve and exercise good judgment
• Excellent interpersonal and presentation skills
• Ability to adapt to changing business and regulatory environments
• Ability to work effectively and supportively within a global team
• Ability to work independently with minimal supervision
• Ability to lead project work streams with diverse audiences
• Strong collaboration and influencing without authority skills

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, 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 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. 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.

Click here to view our full EEO policy statement. Click here for more information on your EEO rights under the 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.