SVP-Compliance

  • Moody's Investors Service
  • $178,775.00 - 178,775.00 / Year *
  • 21 Warren St, New York, NY 10007
  • Full-Time



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Serve as the single point of coordination among compliance, legal and government and public affairs for analyzing and responding to new Commercial-initiated product developments and bespoke product requests for individual MIS customers

Manage a compliance professional responsible for EMEA Commercial matters

Advise Commercial employees on codes of conduct and policies and procedures regarding such matters as securities trading responsibilities, conflicts of interest, outside business interests, gifts and entertainment restrictions, separation, recordkeeping, and regulatory reporting requirements

Training Commercial Group team members on compliance policies and procedures

Delivering and reinforcing compliance-initiated communications relating to new developments such as revisions to policies and procedures, new or enhanced requirements and controls, etc.

Coordinate with other Business Unit Compliance Officers and with local compliance officers to ensure consistent, timely and accurate responses to inquiries

Provide critical subject matter expertise for pertinent compliance policies and procedures as well as identified risk areas

Assist the Commercial Group in responding to regulatory examination and other inquiries

Spot issues, analyze compliance exception trends, and recommend remedial actions to senior management within the assigned line of business

Represent compliance at staff meetings

Demonstrate strong decision-making skills, as well as influencing ability

Lead ad hoc projects and actively contribute to project teams on large-scale initiatives

10-15+ years of experience as a compliance professional supporting internal business groups with a demonstrated record of excellence

Law degree of background in risk management/audit desirable

Experience in fixed income, capital markets, credit environments preferred

Strong and effective oral and written communication skills, including active listening skills and skills at creating and delivering training and topical presentations to teams, groups, and members of senior management

Affinity for project work and problem-solving, with proven track record in identifying and analyzing relevant considerations, developing sound recommendations and presenting findings and recommendations in a clear and concise manner

Ability to take initiative and work with minimal supervision on independent assignments, and also to work effectively with teams

Competing demands on time from a diverse set of internal employees require a high degree of flexibility and excellent time management skills

Must be able to develop credibility with business and compliance stakeholders, and work well under pressure

Comfortable working in an environment of regulatory change

Associated topics: advertise, analyst, business, donor, event, fundraise, medical center, newspaper, public, public relations


* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.