Compliance Assistant Vice President (7363) At Moody's, we unite the brightest minds to turn today's risks into tomorrow's opportunities. We strive 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 may still 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.
Skills and Competencies
6+ years of experience within a financial industry regulator, law firm and/or Compliance department of a regulated financial services firm
Ability to exercise judgment and critical thinking, with a thoughtful and insightful approach to analysis, identification, and escalation of emerging issues and/or risks expeditiously
Excellent verbal and written communication skills in English, with the ability to interact with stakeholders at different levels in the organization and solid drafting skills
Pro-active, flexible, diligent, and dependable, with high attention to detail
Highly organized and efficient, with the ability to multi-task, work independently under limited supervision, and meet tight deadlines
Excellent computer competence in MS Excel and PowerPoint
Education
Strong academic background, including a master's degree, preferably in law
Responsibilities
The Compliance Officer will work in an evolving regulatory environment and assist the Compliance Department, particularly the EU Compliance team, in supporting regulatory engagement in the EU, as well as implementing and administering the Company's compliance program. The individual will act as a Compliance Officer in a generalist advisory capacity, primarily supporting the Head of EU Compliance and Local Compliance Officers based in France and Germany.
The role will involve:
Supporting responses to regulatory requests, including preparing materials for internal preparation of staff for regulatory interactions, drafting regulatory responses, interacting with internal stakeholders to gather documents responsive to regulatory requests, advising the business, and participating in business remediation efforts
Supporting Compliance regulatory engagement (preparation, review, submission of regulatory reports to the relevant regulatory authorities)
Provision of day-to-day business advisory services in the region in coordination with the global and EMEA Compliance team
Leading or participating in Compliance projects and initiatives, as well as providing guidance on business initiatives
Preparing Compliance presentations to staff and supporting team management and board reporting
Participating in other core Compliance responsibilities as necessary, including policies review and drafting and training
About the team
Moody's Compliance function operates globally to provide Compliance support, guidance, and implementation to its business lines. This role is part of the EU Compliance advisory team responsible for implementing and administering the company's internal Compliance program across the EU region and closely interacts with Central Compliance functions, primarily located in the US.
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.
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