VP Compliance

VP Compliance

Moody's

Frankfurt or Paris

Role/Responsibilities

Within an evolving regulatory environment, the successful candidate will provide support to responses to regulatory supervision, including regulatory information requests, management of regulatory exams and Compliance oversight of remediation and implementation.

Responsibilities:

• Develop and advise on processes and procedures to implement Compliance policies based on local requirements in particular with respect to the regulatory environment in the EU;
• Identify differences between local laws, regulations and company policies to recommend solutions as appropriate;
• Maintain up to date knowledge of applicable policies, procedures, regulations and rules to ensure capability and to be seen as a subject matter expert in Compliance as well as developing expertise in a specific area of Compliance in order to act as a thematic expert;
• Advise the business on the material to be presented, positions to take and regulatory expectations to meet for all forms of supervisory engagement;
• Perform periodic outreach to local office(s) in order to provide colleagues with Compliance updates as well as opportunities for colleagues to ask Compliance-related questions in a ‘safe’ environment;
• Support information gathering, review and generation of responses for regulatory supervision, including management of regulatory information requests, regulatory exams and Compliance oversight of remediations. This includes preparing and briefing staff for regulatory interviews and examinations;
• Work closely with the global Compliance team on a variety of Compliance matters including the implementation and administration of the company’s Compliance programme in the region, which involves delivery of reporting, risk assessment, monitoring and training;
• Assist in the preparation of periodic Compliance reports for internal and external use;
• Provide technical guidance and advice to rating group and support staff regarding Compliance matters;
• Maintain frequent contact with management and key stakeholders globally regarding Compliance matters;
• Evaluate and respond to alleged violations of rules, regulations, policies, procedures and standard of conduct, including conducting internal investigations;
• Provide day-to-day Compliance guidance and advice to lines of business. Analyse and escalate emerging issues expeditiously in order to provide visibility of risks to senior management.

Qualifications

• Significant relevant post-qualification experience gained in Compliance and/or a regulatory environment. Specific experience in regulated financial institutions or capital markets environment preferred;
• Experience in interacting with financial supervisory authorities or financial stability regulators is desirable;
• Strong academic background, including university degree, preferably in law. Compliance certification preferred;
• Excellent verbal and written communications skills in English. Must be able to synthesize thoughts into cohesive documents ready for senior management review. Additional fluency in one or more other EMEA languages is desirable;
• Evidence of thoughtful and insightful approach to issues whilst maintaining the highest ethical standards;
• Professional, proactive, flexible, diligent and dependable;
• Excellent interpersonal skills and able to build strong professional relationships at all levels;
• Adapts to changing market conditions and business environment;
• Highly organized and efficient with ability to multi-task and meet tight deadlines whilst maintaining flexibility in order to meet regulatory deliverables;
• Works effectively and supportively within a team as well as being able to work autonomously without the need for close supervision.

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