AVP - Compliance

09 Aug 2017
14 Aug 2017
Contract Type

Moody's compliance function operates globally to provide compliance support, training, and surveillance to its business lines. This role will be directly reporting to and working closely with the Vice President, Senior Compliance Officer in our Tokyo Office, and will be primarily responsible for providing managerial and technical support for execution of Compliance responsibilities in Japan
  • Planning and executing various compliance initiatives, often in a leadership role
  • Planning and executing compliance training
  • Ability to assume managerial role in support of regulatory and business liaison functions
  • Providing technical support for local compliance needs as required
  • Coordinating and interfacing with the Global Compliance team, Business Unit Compliance Officers and Local Compliance Officers in other jurisdictions
  • Supporting compliance efforts outside of jurisdiction and region as may be directed
  • Supporting central compliance requirements, including support for investigations and compliance surveillance requirements
  • Participating in and contributing to local / team / group / corporate discussions
  • Ability to communicate with stakeholders in articulating compliance requirements as needed
  • Developing and managing implementation projects
  • Performing other duties as may be instructed by management
  • Interfacing with external parties, particularly regulators, as may be required.



  • Bachelor degree or higher in business, law or other finance related discipline
  • Qualifications or licenses in law, accounting or compliance are highly desirable
  • More than 5 years in one of the following:
    • Compliance Officer, or regulatory affairs, internal audit, or legal departments, or a combination thereof, in a global financial institution can be considered.
    • In the practice of law, either as a licensed attorney, or foreign attorney practicing in an Asia Pacific jurisdiction. Legal experience in finance related sector is desirable.
  • Considerable exposure to financial regulators; experience with regulators and CRA industry a plus
  • Any portion of the above relating to securities-related matters are advantageous

Key Skills
  • Highest Ethical Standards, Impeccable Integrity
  • Professional demeanor, pro-active, flexible, diligent, and dependable
  • Excellent interpersonal, leadership, and management skills to enable skillful interaction with internal, external, and regulatory parties
  • Influencing and negotiation skills
  • Excellent verbal and written communication skills in both Japanese and English
  • Ability to adapt to changing market conditions and business environment
  • Ability to work effectively within a team and also work independently in delivering results to Compliance projects and initiatives
  • Enthusiasm and ability to learn
  • Highly organized and efficient, with an ability to multi-task and meet tight deadlines
  • Knowledge in Japanese and English is a must
  • Understanding of Japanese regulatory environment
  • Steady, Calm and positive under pressure

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 atwww.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.