AVP-Compliance

Key Responsibilities

• Lead and facilitate the annual Compliance Risk Assessment process, including working with Business Unit Compliance Officers (BUCOs) and Local Compliance Officers (LCOs) to complete the Compliance Risk Assessment reviews
• Lead and facilitate the Compliance Risk Assessment calibration process with Compliance senior management, including assisting with drafting narratives and preparing final results, findings, and reports for senior management
• Develop Regulatory and Compliance metrics, including preparing quarterly updates with BUCOs, LCOs, and Compliance senior management
• Propose and develop new metrics and trending of Compliance data and information, working closely with Compliance and business senior management
• Establish a process for regular review and refresh of the Compliance metrics inventory and assigned thresholds
• 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
• Work closely with Moody’s Ratings Risk on various cross-function initiatives, serving as the Moody’s Ratings Risk Liaison
• Assist with the drafting and review of communications and other ad hoc presentations and reports for the Compliance department
• Develop operating procedures for key processes following best practice models

Qualification & Requirements

• 5-8 years of relevant experience
• Excellent written and verbal communication skills and project management experience
• Degree preferred in related field
• Ability to manage tasks to meet project deliverables on time and error free
• Ability to analyze current processes and workflows and make substantive suggestions for improvement
• Expert in the Office suite, particularly Excel (charts, graphs, VLookUps, etc.), Word and PowerPoint. Knowledge of Access, SharePoint, and Power BI and Automate a plus

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.