The Global Investigations Unit conducts and supervises investigations into alleged violations of policies, procedures, laws and regulations. The Unit is committed to conducting investigations that are fair, impartial, thorough and timely. The VP/AVP – Compliance Investigations will work in an evolving regulatory environment and will assist the Compliance Department in conducting investigations and tracking investigations trend data.
The individual in this role will:
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Conduct interviews of subjects of investigations, and other relevant parties.
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Review business records, emails, and other material to address investigative issues.
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Write investigation reports, and supervise others in investigation report writing.
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Train new staff members on conducting investigations.
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Track investigation files and investigation related documents.
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Track and coordinate the handling of internal and external complaints and calls to Moody’s Integrity Hotline.
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Assist in the production of investigation related information for regulatory reporting and reviews.
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Assist in preparation of periodic compliance reports for internal use and Board reporting.
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Handle administrative tasks relevant to the function.
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Participate in ad-hoc compliance projects and other tasks as assigned by more senior members of the Compliance team.
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At least 5 years relevant work experience in financial services compliance and/or investigations.
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Prior financial services regulatory/government experience preferred.
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Ability to digest and analyse investigations data and build reports.
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MS Excel and PowerPoint expertise required.
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Ability to work independently and as part of a team in resolving complex matters.
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Strong planning and interviewing skills.
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Excellent written and oral communication skills with the ability to get along with senior management.
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Must be highly organized and have phenomenal attention to detail with the ability to multi-task and meet tight deadlines.
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College degree required
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Law Degree strongly preferred.
We will also be looking for the individual to have the following skills:
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The highest ethical standards.
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Professional, pro-active, flexible, diligent and conscientious.
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Computer expertise in Word, Excel, and PowerPoint.
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Ability to exercise judgment.
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Excellent interpersonal skills.
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Highly organized and efficient, with administrative skills and the ability to multi-task and meet tight deadlines.
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Law Degree strongly preferred
Moody's Shared Services - 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.
Moody's (NYSE: MCO) is a global integrated risk assessment firm that empowers organizations to make better decisions. Our data, analytical solutions and insights help decision-makers identify opportunities and manage the risks of doing business with others. We believe that greater transparency, more informed decisions, and fair access to information open the door to shared progress. With over 11,000 employees in more than 40 countries, Moody's combines international presence with local expertise and over a century of experience in financial markets. Learn more at moodys.com.
At Moody’s, we’re taking action. We’re hiring diverse talent and providing underrepresented groups with equitable opportunities in their careers. We’re educating, empowering and elevating our people, and creating a workplace where each person can be their true selves, reach their full potential and thrive on every level. Learn more about our DE&I initiatives, employee development programs and view our annual DE&I Report at moodys.com/diversity