AVP-Compliance

At Moody's, we unite the brightest minds to turn today’s risks into tomorrow’s opportunities. We do this by striving to create an inclusive environment where everyone feels welcome to be who they are—with the freedom to exchange ideas, think innovatively, and listen to each other and customers in meaningful ways.

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.

Posting Title: AVP-Compliance

Hybrid- 2-3 days a week in NYC office

Team/Department Description: Compliance Officer, Conflicts of Interest Management (the Conflicts Officer)

Role/Responsibilities: The Conflicts Officer will have primary responsibility for implementing the conflicts of interest management program for Moody’s Compliance, which includes partnering with business leaders to identify and mitigate regulatory and reputational risks arising from actual or potential conflicts of interest and, in collaboration with stakeholders, ownership of relevant policies and procedures, disclosure obligations, and technology systems. This is a high-profile position that requires keen judgment and analytical skills as well as a demonstrated ability to proactively and effectively challenge business partners. Responsibilities include:

• Review, challenge and, as applicable, reject or approve employee disclosures on gifts and entertainment, political contributions, and outside positions and significant interests, in collaboration with the business unit compliance officers and local compliance officers and senior members of the Compliance Department
• Provide real-time advice and guidance to employees on disclosure and approval requirements in relation to the foregoing submissions
• Serve as content owner and subject matter expert for relevant policies, procedures and training materials, in collaboration with the Compliance Policy and Training teams
• Prepare periodic compliance advisories and other communications on employee obligations with respect to conflicts management
• Respond to requests from regulators and internal stakeholders, such as the Regulatory Coordination Team and Audit, with respect to conflicts program matters
• Develop and maintain standard operating procedures for conflicts program processes
• In collaboration with the Compliance Technology team, maintain the relevant technology systems used for the disclosure and approval submissions and workflows
• As requested, participate in or provide support for other relevant core Compliance responsibilities, including investigations, issue management, risk assessments, and reporting

Qualifications:

• At least 5 years of experience in financial services compliance
• Demonstrated ability to think critically and to provide appropriate challenge as a second line of defense function
• Sound judgment and ability to form and express opinions effectively
• Excellent English language written and verbal communication skills
• Bachelor’s degree
• Ability to manage tasks to meet project deliverables on time and error free
• Expert in the MS Office suite, particularly Sharepoint, Excel, Word, and PowerPoint

#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.