Compliance AVP

At Moody's, we unite the brightest minds to turn today’s risks into tomorrow’s opportunities. 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.
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.
Applicants should have 7+ years of experience in a compliance function for a regulated financial services institution, consultancy, or financial supervisory authority. Experience interacting with, or working for, financial supervisory authorities is preferred.
Works on own initiative with independent execution and without the need for close supervision.
Fluency in oral and written English is required.
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
~ Strong academic background with undergraduate degree is required.

The Compliance AVP – EMEA Regulatory Coordination will report to the Head of RCT and will support EMEA regulatory supervision activities, working closely with the EMEA Compliance team.
Specifically, the Compliance AVP will be responsible for the following:
Coordinate responses to regulatory supervision requests, including information requests, exams, and onsite inspections, working closely with regional Local Compliance teams, Business Unit Compliance Officers and other business stakeholders.
Collaborate closely with relevant business stakeholders throughout Moody’s to draft and prepare responses to regulatory inquiries and exams, including assisting with drafting narrative responses and other regulatory submissions and reviewing and providing feedback to ensure responses to regulatory requests are complete and accurate.
Manage the compilation, review, and preparation of documentation for regulatory submission.
Assist with preparation of staff for supervisory meetings and other interactions.
Manage the preparation and submission of routine regulatory filings.
Work with business stakeholders, Local Compliance Officers and Business Unit Compliance Officers to address observations and remediation items identified by regulators.
Identify and escalate emerging issues and trends associated with inquiries and exams, and areas prioritized by regulators to manage.
Maintain up to date knowledge of relevant regulations and rules, and applicable policies and procedures to support coordination of regulatory responses and engagement.
Enhance and develop team processes, applications and recordkeeping to support coordinated regulatory supervision engagement.
Engage effectively with all levels of business and other internal stakeholders globally regarding regulatory supervisory matters.
Prepare periodic compliance reports and collate information/data necessary for internal and external presentation.
Work closely with the global Compliance team on a variety of compliance initiatives as assigned.
Mentor junior members of the team.
The Regulatory Coordination Team (RCT) in the Global Compliance Department works to promote transparency and business stakeholder engagement in regulatory supervision activities, and is responsible for coordinating Moody’s regulatory interaction and engagement globally.
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.