- New York, NY, USA
- Permanent, Full time
- 22 Mar 18
Compliance Vice President
Location: New York, NY, USAThe Role / Responsibilities:
The Compliance Vice President (Compliance VP) will work with the Structured Finance Group Business Unit Compliance Officer (SFG BUCO) in providing compliance advice to SFG on a global basis.
The individual will assist with requests for compliance advice, support responses to regulatory inquiries and requests, and assist with representing Compliance on remediation and business project workstreams. The Compliance VP will be responsible for:
- Serving as an initial point of contact for SFG analysts globally requesting compliance advice regarding a variety of Compliance policies and procedures.
- Serving as liaison to SFG for all central Compliance functions, including, investigations, training, policies, compliance surveillance, securities trade monitoring and IT compliance deliverables.
- Conducting research that might be required to provide compliance advice; providing analysis and recommendations to the SFG BUCO; and assisting in the delivery of advice.
- Supporting coordination of responses to global regulatory requests that relate to SFG.
- Developing and maintaining operative knowledge of regulatory requirements that apply uniquely to SFG, including various disclosure and conflict of interest requirements, to provide real-time advice regarding rating actions and customer requests.
- Representing Compliance in workstreams that relate to SFG processes or remediations.
- Assisting with the analysis of Quarterly Compliance Surveillance results for SFG and in liaising with SFG management on remediation items.
- Developing and maintaining effective working relationships within SFG, Compliance and other departments.
- Assisting with global coordination of SFG activity with local compliance officers.
- Participating in cross team initiatives within Compliance as requested.
The Department / Team
Moody's Compliance Department operates globally with reporting line located in New York
- Excellent written and verbal communication skills
- Minimum of 6 years of experience within a financial industry regulator, law firm, and/or compliance department of a regulated financial services firm
- Strong interest or relevant experience in structured finance
- Strong academics with a BA / BSc / Master's Degree (or equivalent)
- Strong intellectual curiosity
- Strong attention to detail
- Well organized and efficient, with the ability to multi-task, shift priorities and meet tight deadlines in a highly regulated environment
We will also be looking for the individual to have the following skills;
- Highest ethical standards
- Professional, pro-active, flexible, diligent and dependable
- Ability to work independently, identify relevant factors and develop supportable recommendations
- Ability to solve problems 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
- Strong collaboration and influencing without authority skills
- Computer competence in Word, Excel, and PowerPoint
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 firstname.lastname@example.org.. 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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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.