Regulatory Compliance Associate
hace 3 semanas
Moody's is seeking a professional to support the Compliance Surveillance and Investigations team in Heredia, Costa Rica; Lima, Peru; or Buenos Aires, Argentina.
**Key Responsibilities:**
This role will assist the VP - Compliance Surveillance and Investigations / ML in project management, information gathering, analyses, and the preparation of reports and documentation related to monitoring staff compliance with Moody's Code of Business Conduct and control policies.
**Responsibilities:**
The Associate will focus on:
- Continuous testing and examination of end-to-end rating processes for compliance with internal policies.
- Preparation of periodic and ad-hoc compliance reports outlining the results of the ML Compliance Surveillance and Investigations program.
- Collaboration with the ML Compliance and Regulatory Affairs team to enhance the surveillance and investigations program.
- Development of automated solutions to address testing, surveillance, and investigations needs.
- Review of workpaper documentation for adequacy and follow-up with relevant stakeholders.
- Tracking and reporting on remedial efforts triggered by compliance surveillance reviews.
**Requirements:**
The ideal candidate will have:
- At least four years of experience in financial services compliance.
- Bachelor's degree or higher in business, law, or a finance-related discipline.
- Strong judgment, written and oral communication skills, and proficiency in English and Spanish.
- Professional, proactive, and flexible attitude.
- Excellent interpersonal and team-oriented skills.
- Ability to work independently and meet tight deadlines.
**Language:**
Fluency in English and Spanish is required, with proficiency in Portuguese a plus.
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