• Competitive
  • Gurgaon, Haryana, Inde
  • CDI, Plein-temps
  • Moody's
  • 20 oct. 17

Compliance Associate

Lieu de travail : Gurgaon, Haryana, Inde

Responsibilities:
The Compliance focus areas for which the candidate will be responsible include:
- Policies & Procedures
Maintain and update the policies and procedures, and evaluate opportunities to enhance for content and applicability
- Administration of Certifications & Trainings
Execute the new hire training program, including content management, delivery and record retention
Liaise with internal stakeholders to identify ad-hoc requirements for inclusion in program
Manage the annual and refresher training and certification program
- Risk Management:
Assist in assessing the effectiveness of the compliance program and implementation
Administer the risk assessment exercise and follow up to close any corresponding action items
- Escalation and Investigations management:
Assist in handling compliance escalations arising from multiple channels, including internal or external referrals
Participate in the organization's investigations program, when required
Develop and assist the conduct of surveillance and monitoring controls
- Program implementation:
Work with manager to build annual roadmap
Advisory role in interpretation of policies & procedures, and external regulations/ guidelines
Assist in administering core compliances, including but not limited to provisions of the Code of Business Conduct, management of the company's securities trading program, outside business interests, anti-bribery and anti-corruption, material non-public information, and internal controls
Present metrics and dashboards
Develop collaborative relationships with stakeholders
Assist with other matters as directed by manager

Corporate Compliance

Qualifications:
Post graduate in any discipline with 3-5 years of experience.
Professional experience in streams of either compliance, accounting, law, or finance.
Required Skills:
Possess high level of professional integrity
Excellent written, oral and presentation skills
Ability to influence without authority
Familiarity with Global & Indian financial regulatory environment
Attention to detail and solutions oriented
Anticipating risks & trends
Ability to work with cross functional teams, and develop effective working relationships with internal stakeholders

Moody's is an essential component of the global capital markets, providing credit ratings, research, tools and analysis that contribute to transparent and integrated financial markets. Moody's Corporation (NYSE: MCO) is the parent company of Moody's Investors Service, which provides credit ratings and research covering debt instruments and securities, and Moody's Analytics, which offers leading-edge software, advisory services and research for credit and economic analysis and financial risk management. The Corporation, which reported revenue of $3.6 billion in 2016, employs approximately 10,700 people worldwide and maintains a presence in 36 countries. Further information is available at www.moodys.com.

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 or any other characteristic protected by law.

MIS and MSS Candidates are asked to disclose securities holdings pursuant to Moody's Policy for Securities Trading. Employment is contingent upon compliance with the Policy, including remediation of positions in those holdings as necessary.