Senior Compliance Associate

09 Sep 2017
12 Sep 2017
Contract Type

The Senior Compliance Associate will work in an evolving regulatory environment and will assist the Compliance Department in developing, implementing and administering the Company's compliance program.

The individual will support the Compliance team in responding to regulatory requests, including preparing internally for regulatory exams, supporting document requests, supporting the firm's securities training program, developing and reviewing policies and procedures, creating and providing training to staff, conducting internal investigations and working with staff to provide compliance support to jurisdiction in Singapore. The individual will also have direct responsibility for overseeing various surveillance activity, including coordinating the implementation of policies and procedures relating to the Company's obligations relating to Anti-Money Laundering surveillance. He/she will also:
  • Support senior Compliance officers on various projects and initiatives.
  • Interact with the business in Singapore to address queries.
  • Assist in preparation of periodic compliance reports.
  • Participate in other core Compliance responsibilities including
  1. Providing business guidance on compliance matters
  2. Supporting ongoing project implementation work through an evolving regulatory environment
  3. Conducting risk assessment and trainings
  4. Liaise with business functions in help communicating regulatory needs to ensure compliance



Excellent written and verbal communication skills in English.
  • Strong interest in compliance work.
  • At minimum a College degree.
  • At least 5 years' experience within a financial industry regulator, law firm and/or compliance department of a regulated financial services firm.
  • A good working knowledge of the Securities and Futures Act will be an advantage.
  • Experience working with the regulator will be a plus.
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, and PowerPoint.
  • Ability to exercise judgment.
  • Excellent interpersonal skills.
  • Strong probative skills.
  • Ability to adapt to changing business and regulatory environments.
  • Ability to work effectively and supportively within a team.
  • Ability to work independently in Singapore and as part of an APAC and global team.
  • Strong attention to detail.
  • Highly organized and efficient, with administrative skills and the ability to multi-task and meet tight deadlines.

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 $3.5 billion in 2015, employs approximately 10,400 people worldwide and maintains a presence in 36 countries. Further information is available at

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.