AVP-Compliance

Company: Moody's Investors Service
Location: Charlotte
Posted on: April 12, 2025

Job Description:

Location(s):

• 7 World Trade Center, 250 Greenwich Street, New York, New York, 10007, US
• 1414 S Tryon Street, 7th Floor, The Railyard Floors 5-8, Charlotte, North Carolina, 28203, USLine Of Business: Compliance(COMPLIANCE)Job Category:
  • Corporate ServicesExperience Level: Experienced HireAt 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.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.Team/Department Description: Global Compliance Program Office and Moody's Shared Services ComplianceRole/Responsibilities:The Compliance Assistant Vice President (Compliance AVP) will work within the Global Compliance Program Office and Moody's Shared Services Compliance Advisory team. This role will be the primary lead for the Compliance Risk Assessment process and will assist with other centralized Compliance functions, including but not limited to Compliance Reporting, Metrics, and Horizon Risk. This role requires a candidate with strong oral and written communications skills, demonstrated ability to work with senior management in a global and fast-paced environment, and experience in leading large-scale initiatives across multiple functions and jurisdictions.The Compliance AVP's responsibilities will include:
    • Lead and facilitate the annual Compliance Risk Assessment process, including working with Business Unit Compliance Officers (BUCOs) and Local Compliance Officers (LCOs) to complete the Compliance Risk Assessment reviews.
    • Lead and facilitate the Compliance Risk Assessment calibration process with Compliance senior management, including assisting with drafting narratives and preparing final results, findings, and reports for senior management.
    • Develop Regulatory and Compliance metrics, including preparing quarterly updates with BUCOs, LCOs, and Compliance senior management.
    • Propose and develop new metrics and trending of Compliance data and information, working closely with Compliance and business senior management.
    • Establish a process for regular review and refresh of the Compliance metrics inventory and assigned thresholds.
    • Prepare Compliance reporting for internal and external stakeholders, including but not limited to business and Compliance senior management, global regulators, and global and regional boards of directors. Lead the review and preparation in advance of board meetings and regulatory meetings, including preparing talking points and background information for senior management.
    • Assist with the Compliance Horizon Risk process, which is an ongoing review of emerging risks and issues, and document, disposition, and track any required follow-ups.
    • Work closely with Moody's Ratings Risk on various cross-function initiatives.
    • Engage effectively and credibly with all levels of business and other internal stakeholders globally regarding Compliance matters.
    • Assist with the drafting and review of communications and other ad hoc presentations and reports for the Compliance department.
    • Demonstrate exceptional decision-making skills, as well as influencing ability (including influencing without authority) and oral and written communication skills.
    • Lead global Compliance initiatives and other ad hoc projects.Qualifications:
      • 7-10 years of relevant experience.
      • Demonstrated ability to manage multiple time-sensitive deliverables.
      • Experience working with senior management in a fast-paced environment.
      • Excellent written and verbal communication skills and project management experience.
      • Degree preferred in related field.
      • Ability to analyze current processes and workflows and make substantive suggestions for improvement.
      • Expert in the Office suite, particularly Excel (charts, graphs, VLookUps, etc.), Word and PowerPoint. Knowledge of Access, SharePoint, and Power BI and Automate a plus.For US-based roles only: the anticipated hiring base salary range for this position is [$133,100 - $192,950], depending on factors such as experience, education, level, skills, and location. This range is based on a full-time position. In addition to base salary, this role is eligible for incentive compensation. Moody's also offers a competitive benefits package, including not but limited to medical, dental, vision, parental leave, paid time off, a 401(k) plan with employee and company contribution opportunities, life, disability, and accident insurance, a discounted employee stock purchase plan, and tuition reimbursement.Moody's is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, sex, gender, age, religion, national origin, citizen status, marital status, physical or mental disability, military or veteran status, sexual orientation, gender identity, gender expression, genetic information, or any other characteristic protected by law. Moody's also provides reasonable accommodation to qualified individuals with disabilities or based on a sincerely held religious belief in accordance with applicable laws. If you need to inquire about a reasonable accommodation, or need assistance with completing the application process, please email . This contact information is for accommodation requests only, and cannot be used to inquire about the status of applications.For San Francisco positions, qualified applicants with criminal histories will be considered for employment consistent with the requirements of the San Francisco Fair Chance Ordinance.This position may be considered a promotional opportunity, pursuant to the Colorado Equal Pay for Equal Work Act.Click here to view our full . Click here for more information on . Click here to view our . Click here to view our 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.
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Keywords: Moody's Investors Service, Kannapolis , AVP-Compliance, Other , Charlotte, North Carolina