Compliance and Regulatory Affairs Professional

hace 5 días


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

Moody's is a leading provider of credit ratings, research, and risk analysis. We are seeking a Compliance and Regulatory Affairs Associate to join our team in Heredia, Costa Rica; Lima, Peru; or Buenos Aires, Argentina.

Job Summary:

This junior role will support the expanding regional remit of our Compliance and Regulatory Affairs team. The Associate's main focus will be to assist with project management, information gathering, analyses, and the preparation of reports and other documentation related to monitoring compliance with internal policies and procedures.

Responsibilities:

  • To continuously test and examine end-to-end rating processes and documentation for compliance with internal policies and procedures;
  • To prepare periodic and ad hoc compliance reports outlining the results of our surveillance program and related trends;
  • To work with other members of the Compliance and Regulatory Affairs team to enhance the surveillance program and improve existing activities;
  • To develop creative automated solutions to address various testing, surveillance and investigations needs;
  • To review workpaper documentation for adequacy and appropriateness and follow up with relevant stakeholders;
  • To oversee, track, validate, and report on the status of remedial efforts triggered by compliance reviews;
  • To assist in other compliance and regulatory affairs tasks as required to ensure team objectives are achieved.

Requirements:

  • At least four years of experience in financial services compliance, ideally in surveillance and/or investigations;
  • Bachelor's degree or higher in business, law or other finance-related discipline;
  • Strong judgment, including with respect to escalation;
  • 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.

Salary: $60,000 - $80,000 per year

About Moody's:

Moody's is committed to maintaining the highest standards of professionalism and integrity in all aspects of our business.


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