Role: The Compliance Associate will work as a project manager in an evolving regulatory environment within the Global Compliance Project Management and Regulatory Filings team. The individual will assist the Compliance team by managing projects related to regulatory filings and other compliance projects as requested and perform routine ad-hoc, quarterly, and year end activities.
The Compliance Associate will be responsible for:
Managing effectively the compliance projects assigned to him/her
Developing and maintaining project plans while working with local Compliance officers in the delivery of accurate and timely regulatory filings
Obtaining data inputs from various stakeholders across the firm to satisfy regulatory filing requirements
Managing multiple, concurrent projects at a time while adhering to the core project management processes and procedures within the team and maintaining a high level of control, quality and consistency for all assigned projects
Defining and articulating clearly project milestones and dates
Ensuring efficient and effective project delivery through the use of follow-ups, detailed and well thought out scheduling/planning efforts, identification of risks, escalating to manager where necessary, and the production and filing of required records including project artifacts
Managing project documentation in centralized data repository
Providing accurate and timely weekly project updates using a centralized reporting system
Supporting the US and LATAM Compliance team as requested
Assisting in the preparation of periodic management reporting
Preparing weekly status reports and management dashboards
Preparing project setup activities in Q4 for upcoming regulatory filings
Participate in SOP updates, records retention reviews and other internal team projects as requested
Qualifications Required
Excellent written and verbal communication skills
At least 2 years solid experience as a project manager within a financial industry regulator, law firm, and/or compliance department of a regulated financial services firm, or within a PMO organization working on Compliance (non-IT) projects
Reporting experience, regulatory reporting a plus
Strong interest in compliance work
Strong academics with a BA / BSc / Master's Degree (or equivalent)
Strong attention to detail
Well organized and efficient, with the ability to multi-task and meet tight deadlines in a highly regulated environment
Knowledge and practice of project management guidelines and principles
We will also be looking for the individual to have the following skills;
Highest ethical standards
Professional, pro-active, flexible, diligent and dependable
Computer competence in Word, Excel, PowerPoint and Sharepoint (Visio a plus)
Ability to problem solve and exercise good judgment
Excellent interpersonal and presentation skills
Ability to adapt to changing business and regulatory environments
Ability to work effectively and supportively within a global team
Ability to work independently and reporting to offshore management
Ability to work with minimal supervision given the stated working hours
Ability to work collaboratively and effectively with another Gurgaon-based Compliance Associate who will be working a different shift
Preferred NA
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, gender expression, gender identity or any other characteristic protected by law.
Candidates for Moody's Corporation may be asked to disclose securities holdings pursuant to Moody's Policy for Securities Trading and the requirements of the position. Employment is contingent upon compliance with the Policy, including remediation of positions in those holdings as necessary.
Internal Number: 5494871
About Moody's
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