AVP-Compliance

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If you are excited about this opportunity but do not meet every single requirement, please apply! You still may be a great fit for this role or other open roles. We are seeking candidates who model our values: invest in every relationship, lead with curiosity, champion diverse perspectives, turn inputs into actions, and uphold trust through integrity. 

Compliance - AVP (New York)

hybrid 2-3 days onsite at NYC office

Role/Responsibilities

The Regulatory Coordination Team (RCT) in the global Compliance department works to promote transparency and business stakeholder engagement in regulatory supervision, and is responsible for coordinating Moody’s regulatory supervision responses and engagement globally. The Compliance - AVP will report to the Head of RCT and will work in an evolving regulatory environment.

Specifically, the candidate will be responsible for the following.

• Coordinate responses to regulatory supervision, including information requests, exams, and onsite inspections, working closely with regional Local Compliance teams, Business Unit Compliance Officers and other business stakeholders.
• Collaborate closely with relevant business stakeholders throughout Moody’s to draft and prepare responses to regulatory inquiries and exams, including assisting with drafting narrative responses and other regulatory submissions and reviewing and providing feedback to ensure responses to regulatory requests are complete and accurate.
• Manage the compilation, review, and preparation of documentation for regulatory submission.
• Assist with preparation of staff for supervisory meetings and other interactions.
• Work with business stakeholders, Local Compliance Officers and Business Unit Compliance Officers to address observations and remediation items identified by regulators.
• Identify and escalate emerging issues and trends associated with inquiries and exams, and areas prioritized by regulators to manage.
• Maintain up to date knowledge of relevant regulations and rules, and applicable policies and procedures to support coordination of regulatory responses and engagement.
• Enhance and develop team processes, applications and recordkeeping to support coordinated regulatory supervision engagement.
• Engage effectively with all levels of business and other internal stakeholders globally regarding regulatory supervisory matters.
• Prepare periodic compliance reports and collate information/data necessary for internal and external presentation.
• Work closely with the global Compliance team on a variety of compliance initiatives as assigned.
• Mentor junior members of the team.

Qualifications

• 7+ years of experience in a compliance function with regulated financial institutions or capital markets environment.
• Experience in interacting with or working for financial supervisory authorities is preferred.
• Strong academic background with undergraduate degree is required. Advanced degree and/or compliance certification preferred.
• Highest ethical standards.
• Professional, pro-active, flexible, diligent and dependable.
• Excellent verbal and written communications skills.
• Excellent interpersonal skills with ability to build strong professional relationships at all levels.
• Strong team orientation with ability to collaborate and influence without authority.
• Works on own initiative with Independent execution and without the need for close supervision.
• Sound judgment with thoughtful and insightful approach to issues; capable of developing independent opinions and defending own view, escalating issues appropriately.
• Strong understanding of the business model and compliance risks.
• Strong presentation skills with an ability to present information to various levels of management.
• Adaptable to changing market conditions and business environment.
• Highly organized and efficient with ability to multi-task and meet tight deadlines.
• Computer skills, including proficiency in Microsoft Office applications, specifically PowerPoint, Excel, SharePoint and Word.
• Fluency in oral and written English is required.

Location: New York

#LI-BR2

For US-based roles only: the anticipated hiring base salary range for this position is 133,100-192,950, depending on factors such as experience, education, level, skills, and location. This range is based on a full-time position. In addition to base salary, this role is eligible for incentive compensation. Moody’s also offers a competitive benefits package, including not but limited to medical, dental, vision, parental leave, paid time off, a 401(k) plan with employee and company contribution opportunities, life, disability, and accident insurance, a discounted employee stock purchase plan, and tuition reimbursement.

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 or based on a sincerely held religious belief 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.

This position may be considered a promotional opportunity, pursuant to the Colorado Equal Pay for Equal Work Act.

Click here to view our full EEO policy statement. Click here for more information on your EEO rights under the law. Click here to view our Pay Transparency Nondiscrimination statement. Click here to view our Notice to New York City Applicants.
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.

For more information on the Securities Trading Program, please refer to the STP Quick Reference guide on ComplianceNet

Please note: STP categories are assigned by the hiring teams and are subject to change over the course of an employee’s tenure with Moody’s.