VP-Senior Regulatory and Advisory Compliance - #2086464

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.

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:

• 8+ 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, with solid drafting skills and ability to interact with stakeholders at senior levels in the organisation
• 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 Word and PowerPoint
  
  

Education

• Strong academic background, including master 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 EU, as well as implementing and administering the Company's compliance program. The individual will act as a senior Compliance Officer in a generalist advisory capacity and will report to the Head of EU Compliance.

The role will involve:

• Leading on responses to regulatory requests, including preparing materials for internal preparation of staff for regulatory interactions, drafting regulatory responses, interacting with internal stakeholders to gather and review documents that are responsive to regulatory requests, advising the business and participating in business remediation efforts
• Providing senior review of regulatory reports submitted to the relevant regulatory authorities
• Providing day-to-day business advisory services in the region in coordination with the global and EMEA Compliance team
• Reviewing and delivering periodic Compliance presentations to staff
• Leading or participating in Compliance projects and initiatives, as well as providing guidance on business initiatives
• 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 EMEA Compliance team, located outside the EU, as well as 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.