Compliance Officer

3 weeks ago

London, Greater London, United Kingdom Moody's Investors Service Full time

Experience Level: Experienced Hire

Categories:

  • Corporate Services

Location(s):

  • One Canada Square, Canary Wharf, London, E14 5FA, GB

Moody's is a developmental culture where we value candidates who are willing to grow. So, if you are excited about this opportunity but don't meet every single requirement, please apply You may be a perfect fit for this role or other open roles.

Moody's is a global integrated risk assessment firm that empowers organizations to make better decisions.

At Moody's, we're taking action. We're hiring diverse talent and providing underrepresented groups with equitable opportunities in their careers. We're educating, empowering and elevating our people, and creating a workplace where each person can be their true selves, reach their full potential and thrive on every level. Learn more about our DE&I initiatives, employee development programs and view our annual DE&I Report at

The Compliance Officer will work in an evolving regulatory environment and will assist the Compliance Department, in particular the EMEA Compliance team in developing, implementing and administering the Company's compliance program. The individual will act as a Compliance Officer in a generalist capacity, primarily supporting Local Compliance Officers based in France, Germany and UK.

The role will involve:
* Provision of day-to-day business advisory services in the region in coordination with the global and EMEA Compliance team
* Supporting responses to regulatory requests, including preparing materials for internal preparation of staff for regulatory interactions, drafting regulatory responses, interacting with internal stakeholders to gather documents that are responsive to regulatory requests, advising the business and participating in business remediation efforts
* Supporting Compliance regulatory engagement (preparation, review, submission of the regulatory reports to the relevant regulatory authorities)
* Leading or participating in Compliance projects and initiatives, as well as providing guidance on business initiatives
* Preparing Compliance presentations to staff and supporting team management and board reporting
* Participating in other core Compliance responsibilities as necessary, including investigations, policies review and drafting and training.

The successful candidate will have the following skills:
* 6+ years of experience within a financial industry regulator, law firm and/or Compliance department of a regulated financial services firm
* Fluent oral and written English, another European language is a plus
* Ability to exercise judgment and critical thinking
* Excellent written and verbal communication skills
* Ability to work independently as part of an EMEA and global team
* Excellent interpersonal skills and ability to interact with stakeholders at different levels in the organisation
* Professional, pro-active, flexible, diligent and dependable
* Highly organized and efficient, with administrative skills and the ability to multi-task and meet tight deadlines.
* Computer competence in Word, Excel, and PowerPoint

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. #J-18808-Ljbffr

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