Compliance and Regulatory Affairs Officer

hace 3 semanas

Xico, México Moody'S A tiempo completo

Job Summary

Moodys is a global integrated risk assessment firm that empowers organizations to make better decisions. We are seeking an experienced Compliance and Regulatory Affairs Officer to support our Local rating businesses in Latin America, with a particular focus on Mexico.

About the Role

This AVP Compliance and Regulatory Officer will be responsible for coordinating compliance and regulatory affairs efforts in Mexico and other jurisdictions. They will ensure that our Local entities meet domestic regulatory requirements, facilitate escalation and resolution of compliance and regulatory issues, and act as the designated compliance officer and primary liaison with regulators.

Key Responsibilities

  1. Coordinate compliance and regulatory affairs efforts in Mexico and other jurisdictions to ensure alignment with Moodys Local regional standards.
  2. Ensure Moodys Local entities meet domestic regulatory requirements and facilitate escalation and resolution of compliance and regulatory issues.
  3. Act as the designated compliance officer and primary liaison with regulators in Mexico and other jurisdictions.
  4. Identify, analyze, and report policy and regulatory developments that could affect our Local businesses in each relevant jurisdiction.
  5. Contribute to the drafting of responses to consultation papers and other policy-related submissions.
  6. Manage regulatory change and support the successful development and implementation of codes of conduct, compliance policies, and procedures.
  7. Advise employees on the implementation of compliance policies and procedures, including securities trading, gifts, outside business interests, confidentiality, separation, recordkeeping, and regulatory disclosures.
  8. Contribute to the drafting of talking points and briefing packages for meetings with regulators, government bodies, and standard setters.
  9. Support the compliance surveillance and investigations team as needed.
  10. Assist in the preparation and delivery of training materials and presentations as necessary.
  11. Carry out compliance risk assessments and identify actions that the company must take to mitigate those risks.
  12. Report to the Moodys Local boards of directors and senior management on a periodic and ad hoc basis.
  13. Perform other compliance and regulatory affairs tasks as required to ensure team objectives are achieved.

Requirements

  • 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 senior executives in a multinational corporation.
  • Strong written and oral communication skills; fluent in English and Spanish, both verbal and written.
  • Professional, proactive, 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.
  • Willingness to travel as needed to the different countries in which Moodys Local operates to meet with regulators and other external stakeholders.
  • Strong Microsoft Excel, PowerPoint, and Word skills.

About Moodys

Moodys 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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