Regulatory Compliance Specialist

hace 6 días


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

Job Summary

We are seeking an experienced Compliance Associate to support the processes within the Compliance Securities Trade Monitoring Unit. This role involves securities trade monitoring and the surveillance of employee trading activity to identify and prevent conflicts of interest and the misuse of confidential information.

Main Responsibilities

  • 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

Requirements

  • 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


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