The Role / Responsibilities: 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 Senior Vice President - LCO (Greater China), based in Hong Kong, and will be primarily responsible for providing managerial and technical support for execution of Compliance responsibilities in China.
Develop, implement and enforce a vigorous and robust compliance program and ensure full compliance with relevant laws and regulations in China.
Advise employees and functions on onshore and cross-border compliance matters.
Organize and conduct compliance training, reviews and monitoring programs in China.
Develop, maintain and implement compliance policies and procedures in China.
Co-ordinate and prepare regulatory filings
Responsible for applying for or maintaining licenses, registration with regulatory authorities for the company and relevant staff.
Respond to alleged violations of laws, regulations, Code of Conduct, policies, procedures, etc. by evaluating or recommending the initiation of investigative procedures
Keep abreast of, and provide guidance and leadership briefings on regulatory changes in China affecting the company.
Interfacing with Mainland China regulators particularly PBOC, NAFMII, CBIRC and other local authorities, as may be required.
Work under direction from the Senior Vice President - LCO (Greater China) in coordinating all China related compliance activities.
Planning and executing various compliance initiatives, often in a leadership role.
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 APAC, Global Compliance teams and BUCOs.
Compliance Asia Pacific #LI-SA1
+10 years financial services related experience with a minimum of 5 years in one of the following:
compliance officer, or regulatory affairs officer, internal audit. legal or a combination thereof, in a financial institution incorporated in Mainland China.
In the practice of law, either as a qualified attorney in China, with relevant legal experience within financial services related sectors in China.
Considerable exposure to relevant financial services regulators in Mainland China (PBOC, CBIRC, NAFMII, NDRC etc)
Any portion of the above relating to China's inter-bank bond market is advantageous
Experience working on cross-border issues with regional teams strongly regarded
Highest Ethical Standards
Professional demeanor, pro-active, flexible, diligent, and dependable
Team player, ability to work in collaboration with other team members in getting results
Excellent interpersonal, leadership, and management skills to engage internal, external, and regulatory parties meaningfully
Prior working experience in MNCs
Influencing and negotiation skills. Proven experience in China regulatory relationship management
Oral and written fluency in English and Putonghua
Ability to adapt to changing market conditions and business environment
Able to work with a minimum level of supervision and to work effectively within a team
Strong analytical and evaluation skills, attentive to details
A self-starter with keen initiative and enthusiasm to learn. Ability to work to deadlines are critical.
Highly organized and efficient, with an ability to multi-task and meet tight deadlines.
Bachelor degree or higher in business, law or other finance related discipline
Qualifications or licenses in law, accounting or compliance are highly desirable
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 $4.2 billion in 2017, employs approximately 11,900 people worldwide and maintains a presence in 41 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, 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.
Internal Number: 4974534
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