AVP-Compliance

Title: AVP/Compliance Department

Location: India

Reports To: Rosa Cermeno, Senior Vice President- Compliance

Moody s Compliance Department is seeking an Assistant Vice President of the Compliance Surveillance team. The Assistant Vice President will have direct management oversight of a team of Compliance professionals to support monitoring and testing engagements to validate the efficacy of compliance with Moody s Codes of Conduct and other 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.

Skills and Competencies

• Applicants should have 10+ years of relevant experience, with a strong background in compliance testing, regulatory issue validation, and auditing principles
• The role requires a deep understanding of laws, rules, specific regulatory requirements, as well as the ability to build strong relationships with stakeholders
• The ideal candidate will be a self-starter, flexible, innovative, and adaptive, with advanced analytical skills
• The position demands a high level of interpersonal skills, the ability to work both independently and collaboratively, and a proactive approach to communicating and managing issues
• The ideal candidate will manage a team that is based across India and Lithuania and is able to work well with teams based across geographical locations/time zones virtually and in-person.
• Key activities include participating in the planning, execution, design and qualitative assessment, as well as reporting of compliance reviews, acting as a review lead, and utilizing innovative compliance testing solutions, including data analytics and AI initiatives.

Education
Master of Business Administration or relevant advanced degree and/or certifications are desired.

Responsibilities

• Develops new test plans and refine existing monitoring and testing scripts
• Performs assigned field work to validate the efficacy of internal controls and direct oversight of assigned staff and their assignments
• Drafts exceptions and manages factual accuracy confirmation of work performed by team to present to stakeholders
• Ensures that cohesive work papers are prepared for each engagement in accordance with department standards.
• Oversee, track, validate and report the status of remediation plans
• Stays abreast of changing CRA regulatory requirements and Moody s business model to maintain a solid foundation of the applicable regulatory framework
• Assists in the consolidation and reporting of results
• Participate and lead in various department-wide projects
• Develop creative automated solutions to address testing needs and present information in a concise and comprehensible manner.
• Supervise staff, based across multiple jurisdictions, and delegate and provide direction and guidance staff across multiple jurisdictions, delegate and provide direction and guidance.

About the team

The surveillance and monitoring team is responsible for monitoring the implementation of the Moodys 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. By joining our team, you will be part of exciting work in the Compliance Surveillance team, working along a best-in-class team of professionals experienced in conducting reviews across MCO that based in New York, Lithuania, India, and Costa Rica