Senior Compliance Associate

Moody’s is a developmental culture where we value candidates who are willing to grow. So, if you are excited about this opportunity but don’t meet every single requirement, please apply! You may be a perfect fit for this role or other open roles.

Moody's is a global integrated risk assessment firm that empowers organizations to make better decisions.

At Moody’s, we’re taking action. We’re hiring diverse talent and providing underrepresented groups with equitable opportunities in their careers. We’re educating, empowering and elevating our people, and creating a workplace where each person can be their true selves, reach their full potential and thrive on every level. Learn more about our DE&I initiatives, employee development programs and view our annual DE&I Report at moodys.com/diversity

Responsibilities:

• Perform continuous testing and examinations of ratings processes for compliance with internal policies and procedures.
• Develop test procedures related to Surveillance reviews supporting the ratings process.
• Document workpapers for all reviews performed.
• Support Compliance Surveillance reviews while working with Compliance team member who are based in global locations based in NY, Lithuania, Latam, and India offices.
• Assist in the preparation of periodic and ad hoc compliance reports outlining the results of Compliance’s Surveillance program.
• Develop creative solutions to enhance existing surveillance reviews.

Qualifications:

• Minimum of a Bachelor’s degree is required.
• 7+ years of compliance and/or audit experience focusing on compliance-related activities.
• Financial institutions or capital markets environment experience.
• Professional, pro-active, flexible, diligent, and dependable.
• Excellent interpersonal skills and team oriented.
• Must be highly organized and efficient with the ability to multi-task and meet tight deadlines.
• Strong written and oral communication skills in English. Multilanguage skills are a plus.
• Must be able to work on own initiatives, with limited supervision.
• Strong Microsoft Excel and Word skills.

*Hybrid schedule: 2 days in office , 3 days remote

Moody’s is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, protected veteran status, sexual orientation, gender expression, gender identity or any other characteristic protected by law.

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.

For more information on the Securities Trading Program, please refer to the STP Quick Reference guide on ComplianceNet

Please note: STP categories are assigned by the hiring teams and are subject to change over the course of an employee’s tenure with Moody’s.