VP-Senior Compliance Officer

The Role / Responsibilities:

Moody's compliance function operates globally to provide compliance advisory, effective challenge, training, and surveillance to its business lines. This role will be directly reporting to and working closely with the Designated Compliance Officer APAC based in Hong Kong, and will be primarily responsible for providing managerial and technical support for execution of Compliance responsibilities for MIS Ratings Japan. Key responsibilities as follows:

• Planning and executing various compliance initiatives, in a senior managerial leadership role
• Planning, developing and executing the compliance program
• Ability to assume managerial, leadership, mentor role as senior member of the global Compliance department
• Remain competent and up to date on Japan regulatory matters and company policies and procedures
• Engage with relevant Japan Boards and Governance Committees on all Compliance matters.
• Lead on regulatory engagement with JFSA and SESC providing timely feedback to relevant stakeholders
• Providing technical compliance advisory and challenge to the business and other relevant stakeholder
• Coordinating and interfacing effectively with Global Compliance team, LCOs and BUCOs
• Supporting compliance projects and initiatives outside of jurisdiction and locally as may be directed

• Participating in and contributing to local / regional / global corporate discussions
• Developing, managing and participating in implementation of relevant local and global regulatory projects
• Performing other duties as may be instructed by management
• Interfacing with external parties, particularly regulators, Internal Audit and Risk, as may be required.
• Work independently to produce high quality work
• Operating with a diverse and inclusive culture

Education, qualifications -

• Bachelor's degree or higher in business, accounting, law or other finance related discipline
• Qualifications or licenses in law, accounting or compliance are highly desirable

Experience -

• More than 10 years in one of the following:
  • • • • Compliance Officer, or regulatory affairs, internal audit, or legal departments, or operations or a combination thereof, in a global financial institution can be considered.
        • 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 securities regulators
• Any portion of the above relating to securities-related matters are advantageous
• Knowledge and experience in cross-border regulatory environment will be an advantage

Key Skills -

• Bi Lingual in Japanese and English
• Highest ethical and professional standards
• Professional demeanor, pro-active, flexible, diligent, and dependable
• Excellent interpersonal, leadership, and management skills to enable skillful interaction with internal, external, and regulatory parties
• Influencing and negotiation skills
• Ability to adapt to changing market conditions and business environment
• Ability to work effectively leading and working within a team
• Enthusiasm and ability to learn
• Highly organized and efficient, with an ability to multi-task and meet tight deadlines
• Excellent verbal and written communication skills.
• Steady, Calm and positive under pressure

Working at Moody’s

We have Impact. So will you.

The views of each Moody’s employee matter and, collectively, those views contribute to our ability to serve credit-sensitive markets worldwide. Diverse opinions are encouraged and leverage the depth and breadth of experiences that our employees bring to work each day. We expect Moody’s employees to be accessible and collaborative and, in return, Moody’s offers a work environment that promotes intellectual curiosity, analytical rigor and collegiality. Our people and our environment uphold our core values of integrity, insight, intellectual leadership, inclusion and independence.

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 MCO Corporation, employs approximately 10,400 people worldwide and maintains a presence in 36 countries. Further information is available at www.moodys.com.

EEO Language

Moody’s is an equal opportunity employer.

Securities Trading Policy (STP)

Candidates receiving an offer to join Moody’s Investors Service or Moody’s Shared Services shall be required to disclose their securities holdings and those of their family members as defined by Moody’s Policy for Securities Trading. Such holdings will be reviewed by the hiring manager during the offer process to identify any potential conflicts of interest. Moody’s Human Resources department shall inform the prospective employee of any potential conflicts and remediation actions required. Any formal offer of employment is contingent upon the Candidate’s agreement to comply, in advance of employment, with remediation requirements identified by Moody’s.