Compliance Assistant Vice President

Location(s):

• An der Welle 5, Frankfurt, 60322, DE

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.

Skills and Competencies

• 6+ years of experience within a financial industry regulator, law firm, and/or Compliance department of a regulated financial services firm
• Ability to exercise judgment and critical thinking, thoughtful and insightful approach to analysis, identification and escalation of emerging issues and/or risks expeditiously
• Excellent fluent verbal and written communications skills in English, ability to interact with stakeholders at different levels in the organization and solid drafting skills
• Pro-active, flexible, diligent and dependable, with high attention to details
• Highly organized and efficient, with the ability to multi-task, work independently under limited supervision and meet tight deadlines
• Excellent computer competence in MS Excel and PowerPoint

Education

• Strong academic background, including a master’s degree, preferably in law

Responsibilities

The Compliance Officer will work in an evolving regulatory environment and will assist the Compliance Department, in particular the EU Compliance team, in supporting regulatory engagement in the EU, as well as implementing and administering the Company’s compliance program. The individual will act as a Compliance Officer in a generalist advisory capacity, primarily supporting Head of EU Compliance and Local Compliance Officers based in France and Germany.

• Supporting responses to regulatory requests, including preparing materials for internal preparation of staff for regulatory interactions, drafting regulatory responses, interacting with internal stakeholders to gather documents that are responsive to regulatory requests, advising the business, and participating in business remediation efforts
• Supporting Compliance regulatory engagement (preparation, review, submission of the regulatory reports to the relevant regulatory authorities)
• Provision of day-to-day business advisory services in the region in coordination with the global and EMEA Compliance team
• Leading or participating in Compliance projects and initiatives, as well as providing guidance on business initiatives
• Preparing Compliance presentations to staff and supporting team management and board reporting
• Participating in other core Compliance responsibilities as necessary, including policies review and drafting and training.

About the team

Moody’s Compliance function operates globally to provide Compliance support, guidance, and implementation to its business lines. This role is part of the EU Compliance advisory team who is responsible for implementing and administering the company’s internal Compliance program across the EU region and closely interacts with Central Compliance functions, primarily located in the US.

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.

#J-18808-Ljbffr