Compliance - Regulatory Coordination Professional (London/Hybrid)

1 month ago

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

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

Role/Responsibilities

The Regulatory Coordination Team (RCT) in the global Compliance department works to promote transparency and business stakeholder engagement in regulatory supervision, primarily for Moody's Investors Service, a credit rating agency, and is responsible for coordinating Moody's regulatory supervision responses and engagement globally. This role will report to the Head of RCT, will work in an evolving regulatory environment, and will primarily coordinate regulatory supervision engagement with the Financial Conduct Authority (FCA), European Securities and Markets Authority (ESMA), Financial Sector Conduct Authority (FSCA) and Dubai Financial Services Authority (DFSA).

Specifically, the candidate will be responsible for the following.

  • Assist with the collection, compilation, review, and management of documentation for responses to regulators, including information requests, inquiries, inspections, investigations and remediations.
  • Review collected documentation for adequacy and appropriateness.
  • Assist in drafting responses to regulatory requests and inquiries as assigned.
  • Develop knowledge of applicable policies and procedures, and of regulations and rules, as applicable, to support coordination of regulatory responses and engagement.
  • Adhere to team processes for tracking deliverables and required steps for information collection, internal reviews and submission to the regulator.
  • Contribute to enhancement and development of team processes and recordkeeping to support responses to regulatory supervision and engagement.
  • Assist in the preparation of periodic compliance reports, including collating necessary data, for internal and external use.
  • Develop and maintain effective working relationships within the Compliance department and with other internal and external stakeholders.
  • Work closely with the global Compliance department on a variety of compliance initiatives as needed.

Qualifications

  • Minimum 5 years of experience in a compliance function or compliance-focused function with a financial institution or capital markets environment.
  • Experience in interacting with financial supervisory authorities or financial stability regulators is desirable.
  • Strong academic background with undergraduate degree is required, preferably in law.
  • Highest ethical standards.
  • Strong attention to detail.
  • Professional, pro-active, flexible, diligent and dependable.
  • Excellent verbal and written communications skills.
  • Effective interpersonal skills with ability to build strong professional relationships at all levels.
  • Strong team orientation with ability to collaborate and influence without authority.
  • Highly organized and efficient, with ability to multi-task and meet tight deadlines.
  • Works on own initiative with independent execution and without the need for close supervision.
  • Sound judgment with thoughtful approach to issues; capable of problem solving and escalating issues appropriately.
  • Computer skills, including proficiency in Microsoft Office applications, specifically PowerPoint, Excel, and Word, and SharePoint.
  • Fluency in oral and written English is required.

#LI-Hybrid

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.

For more information on the Securities Trading Program, please refer to the STP Quick Reference guide on ComplianceNet

Please note: STP categories are assigned by the hiring teams and are subject to change over the course of an employee's tenure with Moody's.

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