Compliance Associate

At Moody's, we unite the brightest minds to turn today's risks into tomorrow's opportunities. We do this by striving to create an inclusive environment where everyone feels welcome to be who they are—with the freedom to exchange ideas, think innovatively, and listen to each other and customers in meaningful ways. Moody's is transforming how the world sees risk. As a global leader in ratings and integrated risk assessment, we're advancing AI to move from insight to action—enabling intelligence that not only understands complexity but responds to it. We decode risk to unlock opportunity, helping our clients navigate uncertainty with clarity, speed, and confidence.

If you are excited about this opportunity but do not meet every single requirement, please apply You still may be a great fit for this role or other open roles. We are seeking candidates who model our values: invest in every relationship, lead with curiosity, champion diverse perspectives, turn inputs into actions, and uphold trust through integrity.

Skills and Competencies

• 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
• The candidate should have a basic understanding of artificial intelligence concepts, with curiosity and enthusiasm for learning how AI tools can be used to improve processes and drive efficiency. Interest in exploring AI systems and a willingness to develop awareness of responsible AI practices, including risk management and ethical use.

Education

• Minimum of a bachelor's degree is required.

Responsibilities

Moody's is seeking an experienced compliance professional to support the processes within the Compliance Securities Trade Monitoring Unit. This function will include securities trade monitoring and the surveillance of employee trading activity to identify and prevent conflicts of interest and the misuse of confidential information.

The candidate will be responsible for administering Moody's Securities Trading Policy and associated Standard Operating Procedures, assessing employee securities transactions and holdings for potential conflicts, managing restricted lists, and providing assistance on research related matters.
• 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 ECM 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.

About the team

The Compliance Securities Trade Monitoring Unit is responsible for administering Moody's Securities Trading Program across Moody's globally. By joining our team, you will be part of exciting work in the Compliance team, working along a best-in-class team of professionals.

Moody's is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, protected veteran status, sexual orientation, gender expression, gender identity or any other characteristic protected by law.

Candidates for Moody's Corporation may be asked to disclose securities holdings pursuant to Moody's Policy for Securities Trading and the requirements of the position. Employment is contingent upon compliance with the Policy, including remediation of positions in those holdings as necessary.