Avp Compliance

**TheRole / Responsibilities**:
The AVP - Compliance/ML will be in charge ofmanaging the Compliance function for a given set of jurisdictions. Theindividual in this role will oversee the developing, implementation andadministration of the processes and controls to ensure that the local ratingagency is complying local regulatory requirements and standards. The Complianceofficer will have to manage the relationship with the regulator and otherexternal bodies that have compliance related requirements.
- Act as the Local Compliance for a specific set of jurisdictions.
- Assist in the review and drafting of policies and procedures to establishthe appropriate regulatory framework in each jurisdiction.
- Respond to requests from the regulator in each jurisdiction.
- Assist in the review and writing of comments to proposed regulations.
- Assist in the internal preparation of staff for regulatory examinationsthrough compliance training
- Keep the Regional and Local Management and the Analytical department upto date on the changes that occur in the regulatory field in differentcountries.
- Assist in the preparation and delivery of training materials andpresentations
- Prepare all periodic and ad-hoc compliance reports for each jurisdictionunder his/her remit
- Support ongoing project implementation work through an evolvingregulatory environment.
- Carry out risk assessments and identify actions that the company musttake to mitigate it.
- Bachelor's degree in Legal area, Business Administration or similar. Master's degree (or equivalent) would be considered a plus.
- 7 years of experience with a financial industry regulator, corporate audit department, and/or compliance department of a regulated financial services firm.
- Proven ability to lead meetings with the regulator and with high-level executives in a corporation that operates in several countries. We will also be looking for the individual to have the following skills:

- The highest ethical standards.
- Proficiency in Word, Excel and PowerPoint.
- Fluency in English and Spanish.
- Ability to exercise judgment and great attention to detail.
- Excellent interpersonal skills.
- Highly organized and efficient, with administrative skills and the ability to multitask and meet tight deadlines.
- Ability to adapt to changing business and regulatory environments.
- Ability to work effectively and supportively within a regional team.
- Wiliness to travel to the different countries in which Moody’s Local operates to meet with regulators and other external entities.

Compliance

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.

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