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hackajob is partnering with Moody's Corporation to fill this position. Create a profile to be automatically considered for this role—and others that match your experience.
Compliance Associate
Skills and Competencies
- Securities Trade Monitoring: Two to four years of experience in employee trade surveillance to administer trading policies, manage restricted lists, and use compliance monitoring platforms
- Data Analysis & Investigation: Required are strong analytical skills, including Excel (formulas, pivots), to review trade data, investigate potential exceptions, and generate reports for management
- Communication & Advisory: Required are strong written and verbal communication skills to provide clear guidance to employees on the trading program and respond effectively to queries
- Organization & Initiative: Required are excellent organizational skills and the ability to work independently to manage multiple tasks and meet tight deadlines in a fast-paced environment
- AI Awareness: Desired is a basic understanding of AI concepts and enthusiasm for learning how AI tools can be used to drive process efficiency and improve surveillance techniques.
Education
Bachelor’s degree is required, advance degree is a plus
Responsibilities
Administer Moody's global securities trading program, monitoring employee trades to prevent conflicts of interest and ensure policy compliance.
- Participate in all aspects of the day-to-day operations of the Securities Trade Monitoring Unit
- Provide oversight and maintenance of employee securities trading classifications, restricted lists, and exempted securities in the FIS Protegent ECM platform
- Research securities, such as global equities, bonds, and mutual funds, for assignment to restricted lists
- Manage daily monitoring of employee trades, including pre & post trade clearance, statement review, and account maintenance
- Maintain books and records relating to the Securities Trade Monitoring Unit
- Identify and conduct investigations for potential exceptions
- Analyze data to generate ongoing reviews and reports
- Respond to queries from employees
- Provide advice and guidance to monitored employees and Compliance teams related to the Moody’s Securities Trading Program
About The Team
The Compliance Securities Trade Monitoring Unit is responsible for administering Moody’s Securities Trading Program across Moody’s globally. By joining our team, you will be part of exciting work in the Compliance team, working alongside a best-in-class team of professionals.
hackajob is partnering with Moody's Corporation to fill this position. Create a profile to be automatically considered for this role—and others that match your experience.