VP/SVP Security Trade Monitor recruitment

Responsibilities
Moody's is seeking an experienced compliance professional to supervise the securities trade monitoring function for the company. The incumbent will be responsible for the surveillance of employee trading activity to identify and prevent conflicts of interest and the misuse of confidential information.
The candidate will be responsible for administering Moody's Securities Trading Policy and associated procedures, assessing employee securities transactions and holdings for potential conflicts, providing guidance on trading to Compliance and company stakeholders, managing restricted lists, reviewing equity positions and providing assistance on research related matters.

Specific Duties Include:
- Analyzing specific actions/transactions and conducting pre and post-trade analysis
- Managing securities trade monitoring systems, processes and data gathering
- Preparing reports to senior management regarding the status of monitoring of trade activities and investigations
- Aligning securities trade monitoring with other ratings process surveillance efforts to prevent conflicts of interest and to monitor access to confidential information
- Manage employee outreach and training for Securities Trading Policy and related processes
- Provide advice and guidance to business and compliance teams on relevant coverage issues
- Analyze business processes and eliminate or minimize the risk of breaches of regulatory requirements related to employee securities trading

Qualifications
- Advanced knowledge in conflict management, information walls, market abuse, insider dealing, investment research and regulatory disclosure obligations.
- Core understanding of variations in global laws and regulations
- Working knowledge of systems, technology and databases
- Proficient analytical skills
- Strong written and verbal communication skills.
- Minimum of 7 years experience in with securities trading monitoring systems and control room processes

Equal Employment Opportunity
Moody's Corporation is committed to equal opportunities and diversity in its recruitment practices. We welcome applications from all sections of the community and are dedicated to the fair and equal treatment of potential and existing employees, candidates and clients regardless of sex, marital status, ethnic origin, religion, disability, sexual orientation, age or any other characteristic protected by law.