VP-Compliance

Key Responsibilities

• Provide Compliance advice and support to MSS functions, including Technology, Corporate Communications, Corporate Development, Enterprise Risk Management, Finance, People Team, Internal Audit, Procurement & Sourcing Group, Legal, Compliance, Government, Public & Regulatory Affairs, and The Moody’s Foundation/Community Impact
• Coordinate compliance efforts globally through a network of regional Compliance associates and centralized Compliance functions. Support successful implementation of policies and procedures, promote consistency across jurisdictions and facilitate escalation and appropriate resolution of compliance issues. Coordinate, where appropriate, with other BUCOs and Compliance staff
• Coordinate regulatory examination and inquiries and advise on regulatory risk
• Advise on codes of conduct and policies and procedures regarding matters such as conflicts of interest, confidentiality, securities trading, gifts, outside business interests, separation, recordkeeping, and regulatory disclosures
• Identify issues, analyze exception trends, and recommend remedial actions to senior management
• Demonstrate strong decision-making skills, as well as influencing ability (including influencing without authority)
• Lead ad hoc projects and actively contribute to project teams on large-scale initiatives
• Lead areas within the Compliance Program Office, including working with BUCOs and Local Compliance Officers (LCOs) to complete the Compliance Risk Assessment reviews and calibration
• Prepare Compliance reporting for internal and external stakeholders, including but not limited to business and Compliance senior management, global regulators, and global and regional boards of directors. Lead the review and preparation in advance of board meetings and regulatory meetings, including preparing talking points and background information for senior management
• Assist with the Compliance Horizon Risk process, which is an ongoing review of emerging risks and issues, and document, disposition, and track any required follow-ups

Qualification & Requirements

Skills and Competencies:

• 7+ years of compliance or risk management experience supporting diverse internal client groups with a demonstrated record of excellence
• Ability to provide advice and guidance to a variety of functions, including Technology, Finance, and Human Resources
• Excellent written and verbal communication skills and project management experience
• Ability to take initiative and work with minimal supervision on independent assignments, and work effectively within and across teams
• High degree of flexibility and excellent time-management skills required to balance competing demands from a diverse set of internal client groups

Education

• Degree preferred in related field

Benefits

Moody’s also offers a competitive benefits package, including not but limited to medical, dental, vision, parental leave, paid time off, a 401(k) plan with employee and company contribution opportunities, life, disability, and accident insurance, a discounted employee stock purchase plan, and tuition reimbursement.