VP-Compliance

1 week ago

New York, United States Moody's Full time $160,100 - $232,100

Location(s):

  • 7 World Trade Center, 250 Greenwich Street, New York, New York, 10007, US

Line Of Business: Compliance(COMPLIANCE)

Job Category:

  • Corporate Services

Experience Level: Experienced Hire

At Moody's, we unite the brightest minds to turn today’s risks into tomorrow’s opportunities. We do this by striving to create an inclusive environment where everyone feels welcome to be who they are-with the freedom to exchange ideas, think innovatively, and listen to each other and customers in meaningful ways.

If you are excited about this opportunity but do not meet every single requirement, please apply You still may be a great fit for this role or other open roles. We are seeking candidates who model our values: invest in every relationship, lead with curiosity, champion diverse perspectives, turn inputs into actions, and uphold trust through integrity.

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

Responsibilities:

The Compliance Vice President (VP) will work within the Compliance Program Office and Moody’s Shared Services (MSS) Compliance Advisory team. This role will support the MSS Business Unit Compliance Officer (BUCO) in providing Compliance advice and support to MSS, which is a diverse set of internal client groups who provide services and support to both Moody’s Ratings and Moody’s Analytics. This role will also assist and support other Compliance Program Office initiatives, including the Compliance Risk Assessment, Horizon Risk, and Metrics.

Responsibilities will include:

  • 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

About the team

Global Compliance Program Office and Moody’s Shared Services Compliance

For US-based roles only: the anticipated hiring base salary range for this position is [[$160,100 - [[$232,100, depending on factors such as experience, education, level, skills, and location. This range is based on a full-time position. In addition to base salary, this role is eligible for incentive compensation. 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.

Moody’s is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, sex, gender, age, religion, national origin, citizen status, marital status, physical or mental disability, military or veteran status, sexual orientation, gender identity, gender expression, genetic information, or any other characteristic protected by law. Moody’s also provides reasonable accommodation to qualified individuals with disabilities or based on a sincerely held religious belief in accordance with applicable laws. If you need to inquire about a reasonable accommodation, or need assistance with completing the application process, please email accommodations@moodys.com. This contact information is for accommodation requests only, and cannot be used to inquire about the status of applications.

For San Francisco positions, qualified applicants with criminal histories will be considered for employment consistent with the requirements of the San Francisco Fair Chance Ordinance.

This position may be considered a promotional opportunity, pursuant to the Colorado Equal Pay for Equal Work Act.

Click here to view our full EEO policy statement. Click here for more information on your EEO rights under the law. Click here to view our Pay Transparency Nondiscrimination statement. Click here to view our Notice to New York City Applicants.
Candidates for Moody's Corporation may be asked to disclose securities holdings pursuant to Moody’s Policy for Securities Trading and the requirements of the position. Employment is contingent upon compliance with the Policy, including remediation of positions in those holdings as necessary.

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