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MD-Designated Compliance Off

3 weeks ago


Singapore Moody's Investors Service Full time

Location(s):
One Pacific Place, Floor 24, 88 Queensway, Admiralty Hong Kong, HK
Line Of Business:
Compliance(COMPLIANCE)
Job Category:
Corporate Services
Experience Level:
Experienced Hire
At Moody's, we unite the brightest minds to turn today's risks into tomorrow's opportunities. We do this by striving to create an inclusive environment where everyone feels welcome to be who they are—with the freedom to exchange ideas, think innovatively, and listen to each other and customers in meaningful ways.
The MD - APAC Regional Head of Compliance position is the senior point of contact for all Compliance matters for the APAC region and is responsible for the execution of the Compliance Program in APAC. This role reports directly to the Moody's Corporation (MCO) Chief Compliance Officer (CCO) and is a high visibility position that requires a candidate with extensive experience in Compliance and dealing with regulators, demonstrated exceptional leadership ability, excellent judgment, and strong oral and written communications skills.
Responsibilities include:
Provide Compliance advice and guidance to Moody's businesses in the APAC region, including in Hong Kong, Singapore, Japan, and Australia
Serve as a subject matter expert on key Compliance risks for the APAC region, including, among other things, advising employees on conflicts of interest, confidentiality, securities trading, gifts and entertainment questions, outside business interests, recordkeeping, licensing, and regulatory disclosures
Serve as the senior point of contact for regulatory supervisory matters in APAC, including but not limited to, coordinating regulatory examinations, responding to regulatory requests and inquiries, advising the business and other internal stakeholders on regulatory supervisory matters, and coordinating within the global Compliance team, as may be required
Work with the APAC Compliance Team to perform the Compliance Risk Assessment and provide input on calibration efforts
Serve on the Compliance Executive Leadership Team, providing support to the CCO and other Moody's senior management members
Lead, develop, and manage the APAC Compliance Officers who provide day-to-day Compliance advice and support to the APAC region
Present and report to internal and external stakeholders on APAC Compliance matters, including participation and presentation in board of director meetings
Represent Compliance in complex and cross-function business-led initiatives, including providing advice and guidance on regulatory implementations and remediations
Support successful implementation of policies and procedures, promote consistency across jurisdictions, and facilitate escalation and appropriate resolution of compliance issues
Demonstrate exceptional leadership and decision-making skills, as well as influencing ability (including influencing without authority) and oral and written communication skills
Lead complex Compliance Department-wide projects and implement global Compliance initiatives in the APAC region
Engage effectively and credibly with all levels of business and other internal stakeholders globally regarding Compliance and regulatory supervisory matters
Operate within a diverse and inclusive culture
Qualifications:
Education, qualifications -
Bachelor's degree or higher in business, law or other finance related discipline
Qualifications or licenses in law or Compliance are highly desirable
Experience -
More than 20 years in one of the following:
Compliance professional interacting with global regulators and supporting diverse internal client groups with a demonstrated record of excellence
In the practice of law, either as a licensed attorney, or foreign attorney practicing in an APAC jurisdiction. Legal experience in finance related sector is desirable.
Experienced senior risk management officer or auditor in financial firms or consulting firms in the financial industry
Experience with regulators or in regulatory compliance required
Experience leading teams across different countries
Key Skills -
Highest ethical standards
Exceptional leadership and management skills
Professional demeanor, proactive, flexible, diligent, and dependable
Excellent verbal and written communication skills, as well as influencing and negotiation skills
Ability to adapt to changing market conditions and business environment
Ability to work effectively within a team and lead and manage a group of Compliance professionals
Enthusiasm and ability to learn
Highly organized and efficient, with an ability to multi-task and meet tight deadlines
Steady, calm, and positive under pressure
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.
Employment is contingent upon compliance with the Policy, including remediation of positions in those holdings as necessary.
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