Compliance&reg Affairsassoc/ml

hace 1 semana

Heredia, Costa Rica Moody's A tiempo completo

Moody’s is seeking a Compliance and Regulatory Affairs Associate to join the Moody’s Local (ML) Compliance Surveillance and Investigations team. Based in Heredia, Costa Rica; Lima, Peru; or Buenos Aires, Argentina, this role will be part of the broader ML Compliance and Regulatory Affairs team within Moody’s Global Compliance and report to the VP - Compliance Surveillance and Investigations / ML.

**Responsibilities**:

- This junior role will support the expanding regional remit of the ML Compliance and Regulatory Affairs team. The Associate’s main focus will be to assist the VP - Compliance Surveillance and Investigations / ML on project management, information gathering, analyses, and the preparation of reports and other documentation related to (a) monitoring the implementation by all ML staff of the Moody's Code of Business Conduct, the applicable ML Codes of Professional Conduct, and all control policies and procedures, and (b) conducting and supervising investigations into alleged violations of those Codes, policies, procedures, laws and regulations; including with respect to the following responsibilities:

- The continuous testing and multiple, concurrent examination of end-to-end rating processes and documentation for compliance with internal policies and procedures.
- The preparation of periodic and ad hoc compliance reports outlining the results of the ML Compliance Surveillance and Investigations program and related trends.
- Work with other members of the ML Compliance and Regulatory Affairs team to enhance the ML compliance surveillance and investigations program and improve existing surveillance and investigations activities.
- The development of creative automated solutions to address various testing, surveillance and investigations needs and to present information in a concise and comprehensible manner.
- The review of workpaper documentation for adequacy and appropriateness and the follow up with relevant stakeholders.
- The oversight, tracking, validation, and reporting on the status of the remedial efforts triggered by the compliance surveillance reviews.
- Assisting in other compliance and regulatory affairs tasks as required to ensure team objectives are achieved.

**Qualifications**:

- 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. Proficiency in Portuguese would be a plus.
- 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

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