Job Description The position will lead responses to regulatory supervision, including regulatory information requests, management of regulatory exams and Compliance oversight of remediation plans.
The successful candidate will work in an evolving regulatory environment and be responsible, along with the EMEA compliance teams based in London, Paris and Frankfurt, for developing, implementing and administering the company's internal compliance function across the EMEA region.
- Assist in regulatory reviews and examinations.
- Evaluate and respond to alleged violations of rules, regulations, policies, procedures and standard of conduct, including conducting internal investigations
- Develop, implement and administer the company's compliance programs within EMEA, and elsewhere as needed, including reporting, risk assessment, monitoring and training.
- Develop processes and procedures to implement compliance policies based on local requirements in particular with respect to the regulatory environment in the EU.
- Identify differences between local laws, regulations and company policies to recommend solutions to maintain appropriate compliance.
- Assist in the preparation of periodic compliance reports for internal and external use.
- Work closely with the global compliance team on a variety of compliance matters.
- Provide technical guidance and advise to rating group and support staff regarding compliance matters.
- Maintain up to date knowledge of applicable policies, procedures, regulations and rules to ensure capability and to be seen as a subject matter expert in Compliance.
- Maintain frequent contact with management and key stakeholder globally regarding compliance matters.
Provide day-to-day compliance guidance and advise to lines of business.
Significant relevant post-qualification experience gained within a compliance department and/or part of the supervisory team at a financial services regulator
- Experience in interacting with financial supervisory authorities or financial stability regulators is desirable
- Experience in regulated financial institutions or capital markets environment preferred
- Strong academic background, including university degree, preferably in law
- Advanced degree and/or compliance certification preferred
- Evidence of thoughtful and insightful approach to issues
- Highest ethical standards
- Professional, pro-active, flexible, diligent and dependable
- Excellent verbal and written communications skills
- Excellent interpersonal skills
- Adapts to changing market conditions and business environment
- Works effectively and supportively within a team as well as autonomously
- Builds strong professional relationships at all levels
- Works on own initiative, without the need for close supervision
- Highly organized and efficient with ability to multi-task and meet tight deadlines
- Sound judgment - capable of developing independent opinions and defending own view
Fluency in oral and written English is required. Fluency in one or more other EMEA languages is desirable
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, gender expression, gender identity or any other characteristic protected by law.
Candidates for Moody's Corporation may be asked to disclose securities holdings pursuant to Moody's Policy for Securities Trading and the requirements of the position. Employment is contingent upon compliance with the Policy, including remediation of positions in those holdings as necessary.