Sales Operations Associate

The Commercial Sales Operations team within MIS is accountable for the end to end client onboarding, periodic review, and offboarding process after handover from the Ratings team. We partner with the Commercial Group, Legal and Compliance in the fulfilment of Anti Money Laundering (AML) and Know Your Client (KYC) requirements and provide direct support to the Sales teams on the customer onboarding experience.

The individual will work with Relationship Managers to perform customer due diligence (CDD), produce reports to improve line of sight of the Sales function on issuer related problems, and participate in projects focused on regulatory compliance and process improvement. The incumbent will ensure efficiency and effectiveness in the KYC activities, as well as, addressing customer requirements for post hand-over deal related documentation.

We are recruiting for Associate and Senior Associate, whereby the ultimate title which will be determined by the team based on your experience and exposure.

**Scope of responsibilities**:
**Client Onboarding**:

- Perform AML and CDD on new and existing relationships to the firm
- Conduct customer risk assessment; support customer onboarding and periodic reviews in compliance with Moody's Investors Service policies and operational procedures as well as external regulatory requirements
- Investigate, call out and resolve name screening monitoring alerts and queries
- Perform enhanced protocols for high risk cases
- Perform data quality assurance checks on case work and name screening
- Work with Legal and Compliance to review documentation requirements and address exceptions to complete the CDD reviews
- Perform AML internal controls and address blocking issues.

**Data Quality**:

- Engage existing and new customers in the collection of detailed customer information and supporting documentation required for the completion of CDD
- Update propriety systems with collected information and documentation to ensure completeness of CDD.

**Reporting**:

- Produce regular AML reports for internal customers and senior management
- Generate reports (e.g. Daily ratings report, crafting/adjustment of VAT forms) and provide Relationship Management team with data gathering, data entry, and data clean-up related tasks.

**Projects**:

- Assist to implement new regulatory and workflow changes
- Support internal audits, external exams and Compliance testing and related data requests
- Identify, recommend and work on implementation of opportunities to improve the MIS commercial processes (procedures and guidelines) and system data quality in order to boost issuer experienc
- Perform system testing and work with IT to improve reporting
- Bachelor degree preferably in finance, accounting, business or economics
- Experience in AML, KYC, and CDD operations within financial services industry.
- Good knowledge of capital markets within APAC region
- Knowledge of AML regulations in APAC region preferred.
- Experience in performing AML related controls and reporting
- Experience in working with IT on system and reporting enhancements and testing
- Strong verbal and written communication skills in English
- Fluency in Mandarin language is required
- Proficiency in Korean language is advantageous
- Proficiency in Bahasa Indonesia, Bahasa Melayu, and Thai is advantageous
- Excellent attention to detail
- Strong research/investigative skills
- Experienced problem-solver, with a track record of being able to suggest solutions to ensure problems are resolved
- Strong written and presentation skills.
- Ability to understand ratings, legal and compliance matters
- Ability to work under defined timelines
- Interpersonal skills to build strong rapport at all levels
- Highly organized and efficient, yet able to multi-task
- Team-oriented

Global RMO

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 Investors Service is among the world’s most respected and widely utilized sources for credit ratings and research. Our opinions and analysis on a broad range of credit obligors and obligations are valued around the world for their insight and rigor.

At MIS, our workplace culture supports our mission to be the Agency of Choice for our customers, employees and future employees. Our Culture focuses on Excellence and embodies behavioral qualities such as Integrity, Responsiveness, Collaboration, Respect and Passion. Our people are our core asset and we look beyond outcomes to ensure that behaviors and interactions matter.

For more information on the Securities Trading Program, please refer to the STP Quick Reference guide on ComplianceNet