Senior Compliance Associate

Vor 3 Tagen

Frankfurt am Main, Deutschland ZM Financial Systems Vollzeit

Imagine what we can INSPIRE with you

Moody’s empowers people to make better decisions and achieve brighter futures. This is what motivates us to bring out the best in our products and our people. Join us. Forward Together.- Moody’s is a global integrated risk assessment firm that empowers organizations to make better decisions.

Department
- Moody’s Corporation
Moody’s Shared Services
Compliance

Role/Responsibilities
- The Regulatory Coordination Team (RCT) of the global Compliance department seeks to promote transparency and business stakeholder engagement in regulatory exams and inquiries, and to coordinate the substance of regulatory supervision responses and engagement globally. The Compliance SCA will report to the Managing Director leading the RCT, and will work in an evolving regulatory environment to support Compliance’s role in regulatory supervision engagement globally.- Assist with the collection, compilation, review, and management of documentation for responses to regulatory supervision.
- Review collected documentation for adequacy and appropriateness.
- Assist in drafting responses to regulatory requests and inquiries as assigned.
- Contribute to enhancement and development of team processes and recordkeeping in support of coordination of responses to regulatory supervision and of regulatory engagement.
- Assist in the preparation of periodic compliance reports and collate data necessary for presentation to regulators and/or board presentation.
- Perform continuous testing of EU and UK ad hoc regulatory reporting, Compliance Surveillance activities, and others as assigned, for compliance with internal policies and procedures; communicate potential issues to RCT - AVP. Contribute to management information.
- Develop and maintain effective working relationships within the Compliance department and with other internal and external stakeholders.
- Contribute to and participate in cross-training efforts in order to back-up other team member responsibilities as needed.
- Work closely with the global Compliance team on a variety of compliance initiatives and special projects as needed.

**Qualifications**:

- 3+ years of experience in a compliance function or compliance-focused function with a financial institution or capital markets environment.
- Highest ethical standards.
- Excellent verbal and written communications skills.
- Strong interpersonal skills with team orientation.
- Highly organized and efficient with ability to multi-task and meet tight deadlines with accurate work product.
- Ability to work independently when needed, using appropriate judgment to escalate issues when warranted.
- Adaptable to changing market conditions and business environment.
- Professional, pro-active, flexible, diligent and dependable.
- Controls testing experience is preferred.
- Strong academic background with undergraduate degree is required.
- Fluency in oral and written English is required.- 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.
- For US-based roles only: the anticipated hiring base salary range for this position is $ 75,500 to $ 109,400 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.

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