Regional Compliance

hace 3 semanas

Heredia, Costa Rica Moody's A tiempo completo

Moody's is a global integrated risk assessment firm that empowers organizations to make better decisions.

Moody’s is seeking a Compliance and Regulatory Affairs Associate to join the Moody’s Local (ML) Regional Compliance and Regulatory Strategy team and support the ML rating businesses in Latin America. Based in Heredia, Costa Rica; Lima, Peru; or Buenos Aires, Argentina, this role will be part of the broader ML Compliance and Regulatory Affairs team within Moody’s Global Compliance and report to the AVP - Regional Compliance and Regulatory Strategy / ML in Buenos Aires, Argentina.

**Responsibilities**:

- This junior role will support the expanding regional remit of the ML Compliance and Regulatory Affairs team. The Associate’s main focus will be to assist the AVP - Regional Compliance and Regulatory Strategy / ML on team coordination and support, project management, information gathering, analyses, and the preparation of reports and other documentation related to:

- The monitoring and execution of a Regional Compliance & Regulatory Affairs Program for ML.
- The development and implementation of common compliance standards for ML and its affiliates (including with respect to compliance policies, procedures, training, surveillance, investigations and securities trade monitoring).
- The preparation by local Compliance and Regulatory Officers of periodic compliance reports to regulators and their preparation of internal staff for regulatory examinations.
- The identification and reporting of regional regulatory, supervisory and political trends to internal stakeholders; the development of standard policy positions for the ML group of credit rating agencies; and the drafting by local Compliance and Regulatory Officers of responses to supervisory inquiries and consultations on proposed regulatory initiatives.
- The development of common messaging strategies for the ML group of credit rating agencies to advocate for the platform’s policy positions and in support of strategic projects in meetings with regulators, government bodies and standard setters; and the execution of these messaging strategies by local Compliance and Regulatory Officers.
- The carrying out of ML regional compliance risk assessments and the identification of actions that ML must take to mitigate those risks.
- The periodic and ad hoc reporting by local Compliance and Regulatory Officers to the ML boards of directors and senior management.
- The development and adoption of adequate systems for recordkeeping, reporting and project management of compliance and regulatory affairs matters.
- Assisting in other compliance and regulatory affairs tasks as required to ensure team objectives are achieved.

**Qualifications**:

- 2-5 years of compliance and/or regulatory affairs experience at a financial industry regulator or regulated financial services firm, or doing research or writing in the financial sector, legal, policy and regulation related fields.
- Bachelor's degree or higher in business, law or other finance related discipline.
- Strong written and oral communication skills; fluent in English and Spanish, both verbal and written.
- Professional, pro-active, flexible, diligent and dependable.
- Excellent interpersonal skills and team oriented.
- Must be highly organized with attention to detail and the ability to multi-task and meet tight deadlines.
- Ability to adapt to changing business and regulatory environments.
- Must be able to work on own initiatives, with limited supervision.
- Unquestionable personal code of ethics, integrity, inclusion and trust.
- Strong Microsoft Excel, PowerPoint, and Word skills

The salary is one component of Moody's total compensation package for employees. Other rewards and benefits include the following: Medical, Personal Accident, Life Insurance and Time Off.

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.

For more information on the Securities Trading Program, please refer to the STP Quick Reference guide on ComplianceNet

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