Compliance Associate

Posted on Nov 16, 2018 by Moody's

New York, NY 10001
Accountancy
31 Oct 2018
Annual Salary
Full-Time
Moody's is seeking an experienced compliance professional to support the processes within the Compliance Securities Trade Monitoring Unit. This function will include securities trade monitoring and the surveillance of employee trading activity to identify and prevent conflicts of interest and the misuse of confidential information.

The candidate will be responsible for administering Moody's Policy for Securities Trading and associated procedures, assessing employee securities transactions and holdings for potential conflicts, managing restricted lists, and providing assistance on research related matters.

Additional responsibilities for this position include:
  • Participate in all aspects of the day-to-day operations of the Securities Trade Monitoring Unit
  • Provide oversight and maintenance of employee securities trading classifications, restricted lists, and exempted securities in the FIS Protegent PTA platform
  • Research securities, such as global equities, bonds, and mutual funds, for assignment to restricted lists
  • Manage daily monitoring of employee trades, including pre-trade clearance, statement review, and account maintenance
  • Maintain books and records relating to the Securities Trade Monitoring Unit
  • Identify and conduct investigations for potential exceptions
  • Analyze data to generate ongoing reviews and reports
  • Respond to queries from employees
  • Provide advice and guidance to employees and Compliance teams related to the Moody's Securities Trading Program
  • Assist in other compliance tasks as required to ensure team objectives are achieved


Part of Moody's Shared Services Compliance team, this function will include securities trade monitoring and the surveillance of employee trading activity to identify and prevent conflicts of interest and the misuse of confidential information.

  • Minimum of a Bachelor's degree is required
  • Strong written and oral communication skills
  • At least two years of relevant experience related to employee securities trading activities
  • 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
  • Must be able to work on own initiatives, with limited supervision
  • Multilanguage with ability to translate documents is a plus
  • Strong Microsoft Excel skills


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 $4.2 billion in 2017, employs approximately 11,900 people worldwide and maintains a presence in 41 countries. Further information is available at .

Moody's is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, sex, gender, age, religion, national origin, citizen status, marital status, physical or mental disability, military or veteran status, sexual orientation, gender identity, gender expression, genetic information, or any other characteristic protected by law. Moody's also provides reasonable accommodation to qualified individuals with disabilities in accordance with applicable laws. If you need to inquire about a reasonable accommodation, or need assistance with completing the application process, please email .. This contact information is for accommodation requests only, and cannot be used to inquire about the status of applications.

For San Francisco positions, qualified applicants with criminal histories will be considered for employment consistent with the requirements of the San Francisco Fair Chance Ordinance. For New York City positions, qualified applicants with criminal histories will be considered for employment consistent with the requirements of the New York City Fair Chance Act. For all other applicants, qualified applicants with criminal histories will be considered for employment consistent with the requirements of applicable law.

Click here to view our full EEO policy statement. Click here for more information on your EEO rights under the 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.

Compliance Associate

Reference: 561060321

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