Senior Compliance Associate

Imagine what we can INSPIRE with you

Moody’s empowers people to make better decisions and achieve brighter futures. This is what motivates us to bring out the best in our products and our people. Join us. Forward Together.

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 moodys.com/diversity

Department: 

The surveillance and monitoring team is responsible for monitoring the implementation of the Moody’s Code of Business Conduct, MIS Code of Professional Conduct, and all control policies and procedures.  This includes the monitoring of the end-to-end ratings process, electronic communications across MCO, and reporting to provide senior business management with ongoing trending of all surveillance and investigation results. 

Responsibilities:
•    Perform continuous testing and examinations of ratings processes 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 activities. 
•    Develop creative automated solutions to address testing needs and present information in a concise and comprehensible manner.  

Qualifications:
•    Minimum of a Bachelor’s degree is required.  
•    At least four 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.
•    Strong Microsoft Excel and Word skills.
 

For US-based roles only: the anticipated hiring base salary range for this position is  [[$92,700]]  to  [[$134,400]] , 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 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.

This position may be considered a promotional opportunity, pursuant to the Colorado Equal Pay for Equal Work Act.

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