Moody's Analytics · 2 weeks ago
Senior Compliance Associate- Securities Trade Monitoring
Charlotte - 1414 S Tryon Street
Full-time
Onsite
Mid, Senior Level
$82K/yr - $119K/yr
2+ years expMoody's Analytics 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
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
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 Analytics
In an era where risks are multiplying and increasingly interconnected, Moody’s helps organizations make sense of the complexities.
10001+ employees
H1B Sponsorship
Moody's Analytics has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (171)
2024 (148)
2023 (139)
2022 (160)
2021 (118)
2020 (103)
Funding
Current Stage
Late StageLeadership Team
Joey Haug
Talent Attraction Partner
Recent News
2025-09-21
Company data provided by crunchbase