Job Snapshot
Location:
New York, NY 10007
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Industry:
Accounting - Finance
Job Type:
Information Technology
Legal
Legal Admin
Experience:
Not Specified
Contact Information
Description
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, encompassing the growing array of Moody's non-ratings businesses including Moody's KMV, a provider of quantitative credit analysis tools, Moody's Economy.com, which provides economic research and data services, and Moody's Wall Street Analytics, a provider of software for structured finance analytics. The corporation, which reported revenue of $2.3 billion in 2007, employs approximately 3,600 people worldwide and maintains a presence in 29 countries. Further information is available at www.moodys.com.
Responsibilities
The Role The AVP Compliance Officer will work for an entity operating in an evolving global regulatory environment assisting the compliance officers in developing, implementing and administering the company's internal compliance function. The ideal candidate: should be a self-starter that is able to work independently; have a positive and constructive approach when dealing with others; confront problems quickly and escalate issues as appropriate; take the initiative to generate ideas and solutions; and contribute to achieve the overall goals of the department. Key Responsibilities: -Support compliance officers on various projects and initiatives. -Manage and maintain operations of various existing compliance policies, and when required, take action to develop or modify procedures to support implemented policies. -Manage the certification process for compliance policies. -Review system security and data access controls. -Participate in ad-hoc compliance projects and other tasks as assigned by more senior Compliance officers -Ensure that an effective communication protocol is established for compliance policies. -Assist in monitoring and reporting of regulations and internal policies. -Assist in the preparation of presentations, training materials and training sessions on internal policies, procedures and other related initiatives. -Assist in regulatory reviews as required. -Assist in preparation of periodic compliance reports for internal use.
Qualifications
Qualifications: -Working knowledge of SQL, MS Access, HTML, XML, Excel and SharePoint -Project Management and process mapping experience -Strong academic background, including a college degree -Advanced degree and compliance certification a plus Experience: -3 or more years of experience in a compliance role in a regulated financial services firm desired. -Experience with a compliance examiner a "plus." -Prefer candidates with experience in surveillance, in one or more of the following areas: email, monitoring, conflict issues, or securities trading activities by employees. Key Skills: -Highest ethical standards. -Professional, pro-active, flexible, diligent and dependable. -Excellent oral and written communications skills. -Excellent relationship development and management skills -Well organized, detail oriented with excellent follow up skills essential. - Strong documentation and file management skills. -Highly organized and efficient, with ability to multi-task and meet tight deadlines. -Visio, PowerPoint for - graphs, charts and/or visual representation of data and information. -Understanding of compliance functions is desirable.
Equal Employment Opportunity
We are an equal opportunity employer M/F/D/V. Moody's takes pride in maintaining a balanced and diverse workforce and actively seeks out people who enrich our talent pool.
