Regulatory Compliance Expert

hace 19 horas


San José, San José, Costa Rica Moody'S A tiempo completo

**About the Role:**

Moody's is seeking an experienced professional to support the processes within the Securities Trade Monitoring Unit.

This function includes securities trade monitoring, surveillance of employee trading activity, and identification of potential conflicts of interest and misuse of confidential information.

Key responsibilities include:

  • Participate in 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 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


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