Moody's compliance function operates globally to provide compliance support, training, and surveillance to its business lines. This role will be directly reporting to and working closely with the head of Compliance in Asia-Pacific, and will be primarily responsible for providing managerial and technical support for execution of Compliance responsibilities in Hong Kong .
Planning and executing various compliance initiatives, often in a leadership role
Planning and executing compliance training
Ability to assume managerial, leadership, mentor role as Senior Compliance Officer
Providing technical and managerial support for local compliance needs as required
Coordinating and interfacing with Global Compliance teams and BUCOs
Supporting compliance efforts outside of jurisdiction and region as may be directed
Participating in and contributing to local / team / group / corporate discussions
Developing and managing implementation projects
Performing other duties as may be instructed by management
Interfacing with external parties, particularly regulators, as may be required.
Global Compliance Team
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
More than 5 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.
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 skil l ful 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
Moody's is an essential component of the global capital markets, providing credit ratings, research, tools and analysis that contribute to transparent and integrated financial markets. Moody's Corporation (NYSE: MCO) is the parent company of Moody's Investors Service, which provides credit ratings and research covering debt instruments and securities, and Moody's Analytics, which offers leading-edge software, advisory services and research for credit and economic analysis and financial risk management. The Corporation, which reported revenue of $3.5 billion in 2015, employs approximately 10,400 people worldwide and maintains a presence in 36 countries. Further information is available at www.moodys.com.
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 or any other characteristic protected by law.
MIS and MSS Candidates are asked to disclose securities holdings pursuant to Moody's Policy for Securities Trading. Employment is contingent upon compliance with the Policy, including remediation of positions in those holdings as necessary.