Job Profile Business Unit Compliance Officer, SVP
The candidate will be responsible for coordinating global coverage for this business. Will work with the MD, DCO, America’s and the Corporate Compliance functions to implement and coordinate compliance strategy. Partner directly with line of business executives to proactively implement processes, methodologies and procedures to create repeatable and enforceable best practices. Acts as interface with the ratings agency business line head and own organization, to direct and coordinate all compliance-related activities for the line of business. Acts as the single point of contact for the Structured Finance business unit and compliance. Liaison to the business for all central compliance functions, including investigations, training, policies, compliance surveillance, securities trade monitoring and IT compliance deliverables. Works closely with Structured Finance to develop a culture of compliance within the organization. Responsible for the delivery of training within Structured Finance. Responsible for coordinating all project management with central compliance functions. Responsible for collating data necessary for presentation to regulators and/or board presentation, including obtaining required information for NRSRO filings. Responsible for daily compliance advice to the line of business, and for escalation of issues within Compliance when required. Responsible for coordination of global compliance efforts within Structured Finance. Responsible for global coordination of all activity for Structured Finance with regional compliance officers.
Qualification and Experience
The candidate should possess an undergraduate degree and advanced degree. A J.D. degree is strongly preferred. Must have 8-12 years of management related experience, which may include staff management and/or management of significant projects with inter-business impact. Should have 8+ years of compliance experience in financial services or related industry (broker-dealer, fixed income, credit rating environment, investment banking). Robust understanding of Structured Finance needed.
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USA New York CityNY
Date Last Verified Jul 24,2014
Posted on Jul 02,2014
Hiring Coordinator Moody's Investors Service, Inc 250 Greenwich St Fl 19 New York City, NY 10007