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Moody's is seeking an Assistant Vice President of Compliance to lead and support the Moody's Local Compliance Program across designated Latin American jurisdictions, including Peru, Colombia, Bolivia, and others. This role combines regulatory leadership with hands-on compliance management in a fast-evolving financial services environment.
Key responsibilities include serving as the primary Compliance Officer and liaison with regulators across multiple jurisdictions, managing anti-money laundering (AML) compliance frameworks, and coordinating compliance-related initiatives. You will respond to regulatory inquiries, prepare internal staff for regulatory examinations, and provide guidance on resolving regulatory and compliance issues. The role also involves conducting compliance risk assessments, identifying emerging risks, and supporting the Compliance Surveillance and Investigations teams.
You will advise employees on Moody's Local policies covering securities trading, gifts, outside business interests, confidentiality, information barriers, recordkeeping, and regulatory disclosures. Additionally, you'll prepare and deliver compliance training materials, create presentations for boards of directors and regulators, and report periodically to business leadership and senior compliance management.
The ideal candidate brings 4–8 years of compliance and AML experience at a financial industry regulator or regulated financial services firm. You must demonstrate strong written and verbal communication skills with fluency in English and Spanish, and the ability to engage effectively with regulators, senior management, and cross-functional stakeholders across multiple jurisdictions. A solid understanding of financial services regulations, compliance frameworks, and risk management principles is essential. You should be highly organized, detail-oriented, capable of managing multiple priorities and deadlines, and able to adapt to changing regulatory environments while exercising sound judgment.
The role values unquestionable personal ethics, integrity, and a commitment to fostering a culture of compliance. A basic understanding of AI concepts and curiosity about how AI tools can improve compliance processes is a plus. A bachelor's degree in Business, Law, Finance, or a related field is required; AML certification is preferred.
