Location(s):

• 7 World Trade Center, 250 Greenwich Street, New York, New York, 10007, US

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.

Moody's Compliance Department is seeking an Assistant Vice President of the Compliance Surveillance team. The Assistant Vice President will have direct management oversight of a team of Compliance professionals to support monitoring and testing engagements to validate the efficacy of compliance with Moody's Codes of Conduct and other control policies and procedures. This includes the monitoring of the end-to-end ratings process, electronic communications across MCO, and reporting to provide senior business management with ongoing trending of all surveillance and investigation results.

Skills and Competencies

• Applicants should have 10+ years of relevant experience, with a strong background in compliance testing, regulatory issue validation, and auditing principles
• The role requires a deep understanding of laws, rules, specific regulatory requirements, as well as the ability to build strong relationships with stakeholders
• The ideal candidate will be a self-starter, flexible, innovative, and adaptive, with advanced analytical skills
• The position demands a high level of interpersonal skills, the ability to work both independently and collaboratively, and a proactive approach to communicating and managing issues
• The ideal candidate will manage a team that is based across India and Lithuania and is able to work well with teams based across geographical locations/time zones virtually and in-person.
• Key activities include participating in the planning, execution, design and qualitative assessment, as well as reporting of compliance reviews, acting as a review lead, and utilizing innovative compliance testing solutions, including data analytics and AI initiatives.

Education
Master of Business Administration or relevant advanced degree and/or certifications are desired.

Responsibilities

• Develops new test plans and refine existing monitoring and testing scripts
• Performs assigned field work to validate the efficacy of internal controls and direct oversight of assigned staff and their assignments
• Drafts exceptions and manages factual accuracy confirmation of work performed by team to present to stakeholders
• Ensures that cohesive work papers are prepared for each engagement in accordance with department standards.
• Oversee, track, validate and report the status of remediation plans
• Stays abreast of changing CRA regulatory requirements and Moody's business model to maintain a solid foundation of the applicable regulatory framework
• Assists in the consolidation and reporting of results
• Participate and lead in various department-wide projects
• Develop creative automated solutions to address testing needs and present information in a concise and comprehensible manner.
• Supervise staff, based across multiple jurisdictions, and delegate and provide direction and guidance staff across multiple jurisdictions, delegate and provide direction and guidance.

About the team

The surveillance and monitoring team is responsible for monitoring the implementation of the Moody's Code of Business Conduct, MIS Code of Professional Conduct, and all control policies and procedures. This includes the monitoring of the end-to-end ratings process, electronic communications across MCO, and reporting to provide senior business management with ongoing trending of all surveillance and investigation results. By joining our team, you will be part of exciting work in the Compliance Surveillance team, working along a best-in-class team of professionals experienced in conducting reviews across MCO that based in New York, Lithuania, India, and Costa Rica

For US-based roles only: the anticipated hiring base salary range for this position is [[$134,400 - [[$194,850, 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.

Moody's is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, sex, gender, age, religion, national origin, citizen status, marital status, physical or mental disability, military or veteran status, sexual orientation, gender identity, gender expression, genetic information, or any other characteristic protected by law. Moody's also provides reasonable accommodation to qualified individuals with disabilities or based on a sincerely held religious belief in accordance with applicable laws. If you need to inquire about a reasonable accommodation, or need assistance with completing the application process, please email accommodations@moodys.com. This contact information is for accommodation requests only, and cannot be used to inquire about the status of applications.

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. Click here to view our Notice to New York City Applicants.
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.

Moody’s Corporation is a Government contractor subject to the Vietnam Era Veterans’ Readjustment Assistance Act of 1974, as amended by the Jobs for Veterans Act of 2002, 38 U.S.C. 4212 (VEVRAA), which requires Government contractors to take affirmative action to employ and advance in employment: (1) disabled veterans; (2) recently separated veterans; (3) active duty wartime or campaign badge veterans; and (4) Armed Forces service medal veterans.

VEVRAA Federal Contractor

We Request Priority Protected Veteran and Disabled Referrals for all of our locations

Please contact Donna Hutchinson, Assistant Vice President, Talent Attraction for any questions regarding this listing.