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Job Description Moody's compliance function operates globally to provide compliance support, guidance and implementation to its business lines. The compliance officer will report to the DCO Americas & Global Coordination and will supervise two other local compliance officers based in Sao Paulo, Brazil and Lima Peru, in developing, implementing and administering the company's internal compliance function across the Latin America region. The role will be heavily focused on making sure that Moody's Investor Services and its affiliates in Latin America meets all regulatory standards.
Assist in the development, implementation and administration of the Company's compliance programs within Latin America, centered on detection, prevention and response.
Develop processes and procedures to implement compliance policies based on local, regional, or global requirements.
Develop and deliver specific compliance training in Latin America as required and assist with the process for tracking the training delivery.
Assist in the development and execution of a regional compliance monitoring program, providing reports to senior management, the global compliance team and the local Boards.
Assist in the preparation of compliance reports to senior management and the Boards.
Manage and provide onsite support and direction for all regulatory reviews and examinations.
Run compliance related projects and participate in business led initiatives by providing guidance and advice.
Work closely with the New York and global compliance teams on a variety of compliance matters and topics.
Provide business focused regulatory and compliance guidance and advice to lines of business regarding compliance matters.
Maintain up to date knowledge of applicable policies, procedures, regulations and rules to ensure capability and provide visibility to business partners as a subject matter expert in compliance.
Maintain frequent contact with senior management, global public affairs, the legal department and audit employees globally regarding compliance matters.
Evaluate and, as appropriate, respond to alleged violations of rules, regulations, policies, procedures, and standards of conduct.
Investigate and respond to complaints or matters of potential violations of law, regulation or policies and procedures.
Provide day-to-day compliance guidance and advice to lines of business.
Function as the subject matter expert on all local regulatory requirements for both business partners and for compliance colleagues globally
10+ years of experience as a compliance professional or equivalent control or regulatory function position in financial services, supporting diverse internal client groups with a demonstrated record of excellence
Law degree or equivalent postgraduate degree strongly preferred
Familiarity with credit markets and credit analysis preferred
Excellent oral and written communication skills required
Strong project management and problem-solving skills, with a proven track record in identifying and analyzing relevant considerations, developing sound recommendations and presenting findings and recommendations in a clear and concise manner
Ability to take initiative and work with minimal supervision on independent assignments, and also to work effectively within teams
A high degree of flexibility and excellent time-management skills required
Must be able to develop credibility with business and compliance stakeholders, and work well under pressure
Comfortable working in an environment of regulatory change
Highest ethical standards
Professional, proactive, flexible, diligent and dependable
Excellent oral and written communications skills
Excellent relationship development and management skills
Well organized, detail-oriented with excellent follow up skills essential
Highly organized and efficient, with the ability to multi-task and meet tight deadlines
Proficient with PowerPoint and Excel, and other tools that enable the visual representation of data and information
Must have in-depth experience dealing with the CNBV and other securities regulatory authorities in Latin America.
Broad exposure to financial institutions or capital markets environment would be highly desirable.
Fluency in Spanish, in addition to English, is required.
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, gender expression, gender identity 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.