Vice President - Senior Compliance Officer

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. 

The Role / Responsibilities:

The Vice President - SCO role at Moody's compliance function operates globally to provide compliance advisory, support, training, and surveillance to its business lines. This role will be directly reporting to and working closely with the Head of Compliance in APAC, and will be primarily responsible for providing managerial and technical support for execution of Compliance responsibilities for local Moody’s operation. This candidate will manage, lead the Compliance function in the local jurisdiction operation under the existing compliance program.

Key responsibilities as follows:

• Management of local jurisdiction compliance function with minimal supervision and may lead regulatory engagement in jurisdiction
• Generation, review and oversight of internal and external reporting to senior Compliance and business management
• Lead Compliance representation in business-led initiatives
• Leading and managing various department-wide projects
• Planning and executing various compliance initiatives, often in a managerial leadership role.
• Planning, developing, and executing compliance training.
• Ability to assume managerial, leadership, mentor role as a senior member of the Compliance department.
• Providing technical and managerial support for local and regional compliance needs as required.
• Interact with purpose with Global Compliance teams and BUCOs
• Supporting compliance projects and initiatives outside of jurisdiction and region as may be directed.
• Lead and facilitate positive local / team / group LOB and functional relationship
• Representation and contribution to business-led initiatives discussions
• Developing and managing implementation projects.
• Performing other duties as may be instructed by global and regional management (both in Compliance and wider group)
• Lead interactions with regulators
• Operating with a diverse and inclusive culture

Qualifications:

Education qualifications -

• Bachelor degree or higher in business, law or other finance related discipline
• Qualifications or licenses in law, accounting or compliance are highly desirable

Experience -

• More than 12 years in one of the following:
• Compliance Officer, or regulatory affairs, internal audit, or legal departments, or a combination thereof, in a global financial institution can be considered.
• In the practice of law, either as a licensed attorney, or foreign attorney practicing in an Asia Pacific jurisdiction. Legal experience in finance related sector is desirable.
• Experienced senior risk management officer or auditor in financial firms or consulting firms in the financial industry
• Considerable exposure to securities regulators
• Any portion of the above relating to securities-related matters are advantageous

Key Skills -

• Highest Ethical Standards
• Professional demeanor, pro-active, flexible, diligent, and dependable
• Excellent interpersonal, leadership, and management skills to enable skillful interaction with internal, external, and regulatory parties
• Influencing and negotiation skills
• Excellent verbal and written communication skills
• Ability to adapt to changing market conditions and business environment
• Ability to work effectively within a team
• Ability to also work independently
• Enthusiasm and ability to learn
• Highly organized and efficient, with an ability to multi-task and meet tight deadlines
• Asian language skills, particularly Mandarin/Chinese would be advantageous
• Steady, Calm and positive under pressure

#LI-Hybrid #LI-SD1

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.