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    Regulatory Affairs Manager - London, United Kingdom - Moody's Investors Service

    Moody's Investors Service
    Moody's Investors Service London, United Kingdom

    1 week ago

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    Description
    Moody's is a global integrated risk assessment firm that empowers organizations to make better decisions.
    We're hiring diverse talent and providing underrepresented groups with equitable opportunities in their careers. Learn more about our DE&I initiatives, employee development programs and view our annual DE&I Report at

    The Regulatory Coordination Team (RCT) in the global Compliance department works to promote transparency and business stakeholder engagement in regulatory supervision, primarily for Moody's Investors Service, a credit rating agency, and is responsible for coordinating Moody's regulatory supervision responses and engagement globally.

    This role will report to the Head of RCT, will work in an evolving regulatory environment, and will primarily coordinate regulatory supervision engagement with the Financial Conduct Authority (FCA), European Securities and Markets Authority (ESMA), Financial Sector Conduct Authority (FSCA) and Dubai Financial Services Authority (DFSA).

    Assist with the collection, compilation, review, and management of documentation for responses to regulators, including information requests, inquiries, inspections, investigations and remediations.

    Assist in drafting responses to regulatory requests and inquiries as assigned.

    Develop knowledge of applicable policies and procedures, and of regulations and rules, as applicable, to support coordination of regulatory responses and engagement.

    Adhere to team processes for tracking deliverables and required steps for information collection, internal reviews and submission to the regulator.

    Contribute to enhancement and development of team processes and recordkeeping to support responses to regulatory supervision and engagement.
    Assist in the preparation of periodic compliance reports, including collating necessary data, for internal and external use.
    Develop and maintain effective working relationships within the Compliance department and with other internal and external stakeholders.
    Work closely with the global Compliance department on a variety of compliance initiatives as needed.

    Minimum 5 years of experience in a compliance function or compliance-focused function with a financial institution or capital markets environment.

    Experience in interacting with financial supervisory authorities or financial stability regulators is desirable.
    Strong academic background with undergraduate degree is required, preferably in law.
    Professional, pro-active, flexible, diligent and dependable.
    Computer skills, including proficiency in Microsoft Office applications, specifically PowerPoint, Excel, and Word, and SharePoint.
    Fluency in oral and written English is required.
    #LI-Hybrid

    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.

    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.
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