• Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • Moody's
  • 22 Mar 18

Vice President - Compliance Officer

Location: London, England, United Kingdom

The VP - Compliance Officer will work in an evolving regulatory environment and will assist the Compliance Department in developing, implementing and administering the Company's compliance program.

The individual will act as a Compliance Officer in a generalist capacity with jurisdictional responsibility as a local compliance officer for one or more Moody's offices in EMEA.

The role will involve:
  • Travel to the relevant office(s) to provide advisory support to staff and management in the jurisdiction,
  • Preparation and presentation of internal board reports,
  • Provision of day-to-day business advisory services in the region in coordination with the global and EMEA compliance team,
  • Supporting Compliance management of regulatory requests, including internal preparation for regulatory exams, supporting document requests, participation in business remediation efforts and advising business and management on regulatory responses,
  • Supporting the firm's securities training programm,
  • Developing and reviewing policies and procedures,
  • Creating and providing training to staff in conjunction with the training unit,
  • Conducting internal investigations,
  • Working with staff to provide compliance support to jurisdictions throughout EMEA.
  • Leading or participating in various Compliance projects and initiatives,
  • Assisting in the preparation of periodic compliance reports.
  • Participate in other core Compliance responsibilities including, among other things, the preparation and negotiation of regulatory applications and providing Compliance guidance for business initiatives.

MIS - Compliance Department


  • Excellent written and verbal communication skills.
  • Strong interest in compliance work.
  • Experience within a financial industry regulator, law firm and/or compliance department of a regulated financial services firm.
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, and PowerPoint.
  • Ability to exercise judgment.
  • Excellent interpersonal skills.
  • Strong probative skills.
  • Ability to adapt to changing business and regulatory environments.
  • Ability to work effectively and supportively within a team.
  • Ability to work independently in EMEA and as part of an EU and global team.
  • Strong attention to detail.
  • Highly organized and efficient, with administrative skills and the ability to multi-task and meet tight deadlines.

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.

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.

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