Moody's is seeking an experienced VP - Compliance and Regulatory Affairs to join the Moody's Local (ML) Surveillance and Investigations team. Based in Heredia, Costa Rica; Lima, Peru; or Buenos Aires, Argentina, this role will be part of the broader ML Compliance and Regulatory Affairs team within Moody's Global Compliance and report to the Head of Compliance and Regulatory Affairs for Moody's Local in New York.
- This role will be responsible for monitoring the implementation by all ML staff of the Moody's Code of Business Conduct, the applicable ML Codes of Professional Conduct, and all control policies and procedures, and for conducting and supervising investigations into alleged violations of those Codes, policies, procedures, laws and regulations. This includes the monitoring of the end-to-end ratings process, electronic communications across ML, and reporting to provide senior business management with ongoing trending of all surveillance and investigation results.
- Perform and oversee continuous testing and multiple, concurrent examinations of end-to-end rating processes and documentation for compliance with internal policies and procedures.
- Prepare periodic and ad hoc compliance reports outlining the results of the ML Compliance Surveillance and Investigations program and related trends.
- Work with other members of the ML Compliance and Regulatory Affairs team to enhance the ML compliance surveillance and investigations program and improve existing surveillance and investigations activities.
- Collaborate in the development of creative automated solutions to address various testing, surveillance and investigations needs and to present information in a concise and comprehensible manner.
- Review workpaper documentation for adequacy and appropriateness and follow up with relevant stakeholders.
- Oversee, track, validate, and report the status of the remedial efforts triggered by the compliance surveillance reviews.
- This role may also have people management responsibilities.
- Assist in other compliance and regulatory affairs tasks as required to ensure team objectives are achieved.
**Qualifications**:
- 8-12 years of experience in financial services compliance, ideally in surveillance and/or investigations.
- Bachelor's degree or higher in business, law or other finance related discipline.
- Strong understanding of the business model and compliance risks.
- Proven track record with communications to senior leadership, including preparation of periodic reports.
- Strong judgment, including with respect to escalation.
- Strong written and oral communication skills; fluent in English and Spanish, both verbal and written. Proficiency in Portuguese would be a plus.
- Experience managing people.
- Professional, pro-active, flexible, diligent and dependable.
- Excellent interpersonal skills and team oriented.
- Independent execution and oversight of multiple tasks across the team.
- Must be able to work on own initiatives, with limited supervision.
- Unquestionable personal code of ethics, integrity, inclusion and trust.