Vice President- Compliance
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 $2.3 billion in 2011, employs approximately 6,100 people worldwide and maintains a presence in 28 countries. Further information is available at www.moodys.com.
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 head of Compliance in Asia-Pacific, and will be primarily responsible for providing managerial and technical support for execution of Compliance responsibilities in the region .
- Planning and executing various compliance
initiatives, often in a leadership 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 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.
Education, qualifications -
- Bachelor degree or higher in business, law or other finance related discipline
- Qualifications or licenses in law, accounting or compliance are highly desirable
Experience - More than 8 years in one of the following:
- Compliance, regulatory affairs, internal audit, or legal departments, or a combination thereof, in a global financial institution.
- 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 financial regulators
- Any portion of the above relating to securities-related matters are advantageous
Key Skills
- Highest Ethical Standards
- Professional demeanor, pro-active, flexible, diligent, and dependable
- Excellent interpersonal , leadership, and management skills to enable skil l ful interaction with internal, external, and regulatory parties
- Influencing and negotiation skills
- Excellent verbal and written communication skills
- Ability to adapt to changing market conditions and business environment
- Ability to work effectively within a team
- Ability to also work independently
- Enthusiasm and ability to learn
- Asian language skills, particularly Mandarin/Chinese would be advantageous
Interested applicants please apply at www.moodys.jobs by searching on job reference 1101BR. Please note that relocation assistance will NOT be provided for overseas candidates.
https://www.moodys.jobs/psp/hrrec/EMPLOYEE/HRMS/c/ROLE_APPLICANT.ER_VIEW_JOBS.GBL?JobReqNbr=1101BR
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