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Moody's Corporation · 10 hours ago

Senior Compliance Associate- Securities Trade Monitoring

Charlotte, NC

Full-time

Onsite

Mid, Senior Level

$82K/yr - $119K/yr

2+ years exp

Moody's Corporation is a global leader in ratings and integrated risk assessment, transforming how the world sees risk. They are seeking a Senior Compliance Associate to administer the global securities trading program, monitor employee trades, and ensure compliance with trading policies.

Financial Services

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

Qualification

Securities Trade MonitoringData AnalysisExcelCommunication SkillsOrganizational SkillsAI AwarenessInitiative

Required

Two to four years of experience in employee trade surveillance to administer trading policies, manage restricted lists, and use compliance monitoring platforms

Strong analytical skills, including Excel (formulas, pivots), to review trade data, investigate potential exceptions, and generate reports for management

Strong written and verbal communication skills to provide clear guidance to employees on the trading program and respond effectively to queries

Excellent organizational skills and the ability to work independently to manage multiple tasks and meet tight deadlines in a fast-paced environment

Bachelor's degree is required

Preferred

Basic understanding of AI concepts and enthusiasm for learning how AI tools can be used to drive process efficiency and improve surveillance techniques

Advance degree is a plus

Benefits

Medical

Dental

Vision

Parental leave

Paid time off

A 401(k) plan with employee and company contribution opportunities

Life

Disability

Accident insurance

A discounted employee stock purchase plan

Tuition reimbursement

Company

Moody's Corporation

Glassdoor3.8

In a world shaped by increasingly interconnected risks, Moody’s helps customers develop a holistic view of these risks to advance their business and act decisively.

Founded in 1970

New York, New York, US

10001+ employees