• Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Moody's
  • 20 Aug 17

Compliance Associate

Location: New York, NY, USA

Responsibilities:
  • Perform continuous testing and examinations of ratings documentation for compliance with internal policies and procedures.
  • Assist in the preparation of periodic and ad hoc compliance reports outlining the results of Compliance's Surveillance program
  • Work with the Compliance Surveillance Team to enhance the Surveillance Program and improve existing surveillance program .
  • Develop creative automated solutions to address testing needs and present information in a concise and comprehensible manner.


Department/Team:

Compliance Department

Qualifications:
  • Minimum of a Bachelor's degree is required.
  • Strong written and oral communication skills with the ability to interact with senior management.
  • At least two years of compliance and/or audit experience focusing on compliance-related activities.
  • Financial institutions or capital markets environment experience.
  • Professional, pro-active, flexible, diligent and dependable.
  • Excellent interpersonal skills and team oriented.
  • Must be highly organized and efficient with the ability to multi-task and meet tight deadlines.
  • Must be able to work on own initiatives, with limited supervision.
  • Multilanguage with ability to translate documents is a plus.
  • Strong Microsoft Access, Excel and Word skills.


Moody's is an essential component of the global capital markets, providing credit ratings, research, tools and analysis that contribute to transparent and integrated financial markets. Moody's Corporation (NYSE: MCO) is the parent company of Moody's Investors Service, which provides credit ratings and research covering debt instruments and securities, and Moody's Analytics, which offers leading-edge software, advisory services and research for credit and economic analysis and financial risk management. The Corporation, which reported revenue of $3.6 billion in 2016, employs approximately 10,700 people worldwide and maintains a presence in 36 countries. Further information is available at www.moodys.com.

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 in accordance with applicable laws. If you need to inquire about a reasonable accommodation, or need assistance with completing the application process, please email accommodations@moodys.com.. 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. For New York City positions, qualified applicants with criminal histories will be considered for employment consistent with the requirements of the New York City Fair Chance Act. For all other applicants, qualified applicants with criminal histories will be considered for employment consistent with the requirements of applicable law.

Click here to view our full EEO policy statement. Click here for more information on your EEO rights under the law.

MIS and MSS Candidates are asked to disclose securities holdings pursuant to Moody's Policy for Securities Trading. Employment is contingent upon compliance with the Policy, including remediation of positions in those holdings as necessary.