Avp Compliance and Regulatory Officer

**The Role**:
Moody’s is seeking an experienced
**AVP Compliance and Regulatory Officer** to support the Moody’s Local rating businesses in Latin America, with a particular focus on Peru, Panama and Bolivia. Based in Lima, Peru, this role will be part of the Moody’s Global Compliance team and report to the Head of Compliance and Regulatory Affairs for Moody’s Local in New York.

**Responsibilities**:
The AVP Compliance and Regulatory Officer will be the chief point of contact to support the Moody’s Local businesses in identifying and navigating regulatory and reputational risks and opportunities in each jurisdiction. Responsibilities include:

- Coordinate compliance and regulatory affairs efforts in each jurisdiction in alignment with Moody’s Local regional standards, ensure Moody's Local entities are meeting domestic regulatory requirements, and facilitate escalation and appropriate resolution of compliance and regulatory issues.
- Act as the designated compliance officer and primary liaison with regulators in Peru, Panama, Bolivia and other jurisdictions to be specified, respond to supervisory inquiries, prepare all periodic compliance reports, and prepare internal staff for regulatory examinations.
- Identify, analyse and report policy and regulatory developments that could affect the Moody’s Local businesses in each jurisdiction, contribute to the drafting of responses to consultation papers and other policy-related submissions, and manage any regulatory change.
- Support the successful development and implementation of codes of conduct, compliance policies and procedures in alignment with Moody’s Local regional standards, and advise employees on their implementation, including with respect to securities trading, gifts, outside business interests, confidentially, separation, recordkeeping and regulatory disclosures.
- Contribute as necessary to the drafting of talking points and briefing packages for meetings with regulators, government bodies and standard setters to advocate for Moody’s policy positions and in support of strategic projects.
- Conduct investigations and support the compliance surveillance team where necessary.
- Assist in the preparation and delivery of training materials and presentations as necessary.
- Carry out compliance risk assessments and identify actions that the company must take to mitigate those risks.
- Report to the Moody’s Local boards of directors and senior management on a periodic and ad hoc basis.
- Assist in other compliance and regulatory affairs tasks as required to ensure team objectives are achieved.
- 5-8 years of compliance and/or regulatory affairs experience at a financial industry regulator or regulated financial services firm.
- Bachelor's degree or higher in business, law or other finance related discipline.
- Proven ability to lead meetings with financial regulators and high level executives in a multinational corporation.
- Strong written and oral communication skills; fluent in English and Spanish, both verbal and written.
- Professional, pro-active, flexible, diligent and dependable.
- Excellent interpersonal skills and team oriented.
- Must be highly organized with attention to detail and the ability to multi-task and meet tight deadlines.
- Ability to adapt to changing business and regulatory environments.
- Must be able to work on own initiatives, with limited supervision.
- Unquestionable personal code of ethics, integrity, inclusion and trust.
- Wiliness to travel as needed to the different countries in which Moody’s Local operates to meet with regulators and other external stakeholders.
- Strong Microsoft Excel, PowerPoint, and Word skills.

Compliance

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.

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