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 Designated Compliance Officer US/Americas and the Latin America Compliance Officer, and will be primarily responsible for providing support for execution of Compliance responsibilities in the region.
Planning and executing various compliance initiatives, often in a leadership role.
Planning and executing compliance training.
Providing technical and other 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.
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 as:
Compliance Officer in a global financial institution. Work in regulatory affairs, internal audit, or legal departments, or a combination thereof, will also be considered.
Prior work in the practice of law, either as a licensed attorney, or foreign attorney practicing in a Latin America jurisdiction in the finance sector is desirable.
Considerable exposure to securities regulators and regulation.
Key Skills -
Highest Ethical Standards.
Professional demeanor, pro-active, flexible, diligent, and dependable.
Excellent interpersonal, and leadership 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.
Portuguese and English language skills are required.
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.