Compliance Associate

hace 3 días

San Francisco, Heredia, Costa Rica Moody'S Investors Service A tiempo completo

Title: Compliance Associate

**Responsibilities**:
Moody's is seeking an experienced compliance professional to support the processes within the Compliance Securities Trade Monitoring Unit.
This function will include securities trade monitoring and the surveillance of employee trading activity to identify and prevent conflicts of interest and the misuse of confidential information.
Additional responsibilities for this position include:

- Participate in all aspects of the day-to-day operations of the Securities Trade Monitoring Unit
- Provide oversight and maintenance of employee securities trading classifications, restricted lists, and exempted securities in the FIS Protegent PTA platform
- Research securities, such as global equities, bonds, and mutual funds, for assignment to restricted lists
- Manage daily monitoring of employee trades, including pre & post trade clearance, statement review, and account maintenance
- Maintain books and records relating to the Securities Trade Monitoring Unit
- Identify and conduct investigations for potential exceptions
- Analyze data to generate ongoing reviews and reports
- Respond to queries from employees
- Provide advice and guidance to monitored employees and Compliance teams related to the Moody's Securities Trading Program
- Assist in other compliance tasks as required to ensure team objectives are achieved

Qualifications:

- Minimum of a Bachelor's degree is required.
- Strong written and oral communication skills.
- At least two years of compliance experience related to employee securities trading activities.
- 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.
- Must be able to work on own initiatives, with limited supervision.
- Multilanguage with ability to translate documents is a plus.
- Strong Microsoft Excel, PowerPoint, and Word skills including use of Excel Formulas and Pivot Tables.
COMPLIANCE

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.
Moody's Shared Services are the front line professionals including Finance, Technology, Legal, Compliance and Human Resources, that operationally support our business units.
Exceptional Shared Services teams are vital to the international success of our business.

  • Compliance Associate

    hace 13 horas

    San Francisco, Heredia, Costa Rica beBee Careers A tiempo completo

    Role Summary:This Compliance Associate role is responsible for supporting the development and management of a dedicated internal KYC program. The successful candidate will be responsible for conducting client profile reviews, reviewing information and documentation, and updating KYC forms and client profiles.Key Responsibilities:Conduct client profile...

  • Compliance Associate

    hace 3 días

    San Francisco, Heredia, Costa Rica Zm Financial Systems A tiempo completo

    Imagine what we can INSPIRE with youMoody'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 Shared Services are the front line professionals including Finance, Technology, Legal, Compliance and Human Resources, that...

  • AML Compliance Associate

    hace 1 día

    San Francisco, Heredia, Costa Rica beBee Careers A tiempo completo

    The AML Compliance Associate plays a vital role in supporting the development and management of a dedicated internal Know Your Client (KYC) program.Key Responsibilities:Collaborate with Relationship Management and Compliance teams to assist with the preparation, development, due diligence, and approval of electronic KYC records and supporting...

  • Compliance Associate

    hace 2 días

    San Francisco, Heredia, Costa Rica beBee Careers A tiempo completo

    The role of a Compliance Associate - AML Monitoring Specialist involves participating in Anti-Money Laundering (AML) monitoring, governance, oversight and regulatory reporting activities. The primary objective is to support the development and management of a dedicated internal KYC program.Key ResponsibilitiesPartner with Relationship Management and...

  • Regulatory Compliance Associate for Securities Trading

    hace 3 días

    San Francisco, Heredia, Costa Rica beBee Careers A tiempo completo

    Key ResponsibilitiesThe Compliance Associate for Securities Trading will be responsible for:Securities trade monitoring and surveillance of employee trading activity to identify and prevent conflicts of interest and the misuse of confidential information.Providing oversight and maintenance of employee securities trading classifications, restricted lists, and...

  • Prod Compliance Sr. Associate German

    hace 2 semanas

    San Francisco, Heredia, Costa Rica Amzn Support Srvcs Costa Rica A tiempo completo

    Amazon is a multi-national technology company and being proficient in English is a required qualification.CVs must be submitted in English as our recruitment team works in several jurisdictions.- High School Diploma.- 2+ years of experience in Customer Service and/or Back-Office corporate environments.- B1 English proficiency or higher.- B1 German...

  • Reporting and Compliance Associate

    hace 1 semana

    San Francisco, Heredia, Costa Rica Citi A tiempo completo

    About the RoleThis Reporting and Compliance Associate role involves performing relatively complex assignments, ensuring the quality of tasks and services provided, and working under minimal supervision. The successful candidate will have a direct impact on the business by guaranteeing the timely arrival of orders and resolving invoice/PO match holds.Main...

  • Senior Compliance Associate

    hace 3 días

    San Francisco, Heredia, Costa Rica Moody'S Investors Service A tiempo completo

    Moody's is seeking an experienced compliance professional to support the processes within the Compliance Securities Trade Monitoring Unit.This function will include securities trade monitoring and the surveillance of employee trading activity to identify and prevent conflicts of interest and the misuse of confidential information.Additional responsibilities...

  • Catalog Associate

    hace 2 semanas

    San Francisco, Heredia, Costa Rica Amzn Support Srvcs Costa Rica A tiempo completo

    1+ years of previous experience in an English contact center environment in resume.- Proven knowledge of MS Office package in resume.- Demonstrated strong analytical and logical skills.- Proven good verbal and written English, Spanish AND Italian communication skills with stakeholders and peers.- Proven ability to work under pressure.- C1+ English level in...

  • Risk Management Associate

    hace 2 semanas

    San Francisco, Heredia, Costa Rica Citi A tiempo completo

    The Anti-Money Laundering (AML) team at Citi requires a dedicated individual to assist in the development and management of a comprehensive Know Your Client (KYC) program. As an entry-level Risk Management Associate, your primary objective will be to partner with Relationship Management and Compliance teams to ensure seamless AML monitoring and...