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The Role / Responsibilities: Moody's compliance function operates globally to provide compliance support, training, and surveillance to its business lines. This role will be directly reporting to and working closely with the Head of Compliance in Hong Kong, and will be primarily responsible for providing managerial and technical support for execution of Compliance responsibilities for the Hong Kong hub.
Planning and executing various compliance initiatives, often in a managerial role
Planning and executing compliance training
Ability to assume managerial, leadership, mentor role as Senior Compliance Officer
Providing technical and managerial support for local compliance needs as required
Coordinating and interfacing with Global Compliance teams and BUCOs
Supporting compliance efforts outside of jurisdiction and region as may be directed
Participating in and contributing to local / team / group / corporate discussions
Developing and managing implementation projects
Performing other duties as may be instructed by management
Interfacing with external parties, particularly regulators, as may be required.
APAC Compliance #LI-SA1
Bachelor degree or higher in business, law or other finance related discipline
Qualifications or licenses in law, accounting or compliance are highly desirable
More than 5 years in one of the following:
Compliance Officer, or regulatory affairs, internal audit, or legal departments, or a combination thereof, in a global financial institution can be considered.
Prior experience in the Securities Futures Commission and/or law enforcement functions will be a plus
In the practice of law, either as a licensed attorney, or foreign attorney practicing in an Asia Pacific jurisdiction. Legal experience in finance related sector is desirable.
Considerable exposure to securities regulators, securities regulations and financial crime
Any portion of the above relating to securities-related matters are advantageous
Knowledge and experience in PRC regulatory environment will be an advantage
Highest Ethical Standards
Professional demeanor, pro-active, flexible, diligent, and dependable
Excellent interpersonal, leadership, and management skills to enable skillful interaction with internal, external, and regulatory parties
Influencing and negotiation skills
Excellent verbal and written communication skills. Oral and written proficiencies in Putonghua / Cantonese preferred
Ability to adapt to changing market conditions and business environment
Enthusiasm and ability to learn, ability to work independently and effectively within a team
Highly organized and efficient, with an ability to multi-task and meet tight deadlines
Steady, Calm and positive under pressure
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, religion, sex, national origin, disability, protected veteran status, sexual orientation or any other characteristic protected by law.
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.