The Role / Responsibilities: Moody's compliance function operates globally to provide compliance advisory and training to its business lines. This role will be directly reporting to and working closely with the Head of Compliance in Hong Kong, and will be primarily responsible for providing managerial and technical support for execution of Compliance responsibilities for the Hong Kong hub.
Planning and executing various compliance initiatives, often in a managerial 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.
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.
Prior experience in the Securities Futures Commission and/or law enforcement functions will be a plus
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, securities regulations and AML/financial crime
Any portion of the above relating to securities-related matters are advantageous
Knowledge and experience in cross-border regulatory environment will be an advantage
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. Oral and written proficiencies in Putonghua / Cantonese preferred, in addition to strong command of English
Ability to adapt to changing market conditions and business environment
Enthusiasm and ability to learn, ability to work independently and effectively within a team
Highly organized and efficient, with an ability to multi-task and meet tight deadlines