Managing Director of Compliance

5 days ago

Hong Kong, Central and Western District, Hong Kong SAR China Moody's Full time

Location(s):

  • One Pacific Place, Floor 24, 88 Queensway, Admiralty Hong Kong, HK
Line Of Business: Compliance(COMPLIANCE)

Job Category:
  • Corporate Services
Experience Level: Experienced Hire

At Moody's, we unite the brightest minds to turn today's risks into tomorrow's opportunities. We do this by striving to create an inclusive environment where everyone feels welcome to be who they are-with the freedom to exchange ideas, think innovatively, and listen to each other and customers in meaningful ways.
If you are excited about this opportunity but do not meet every single requirement, please apply You still may be a great fit for this role or other open roles. We are seeking candidates who model our values: invest in every relationship, lead with curiosity, champion diverse perspectives, turn inputs into actions, and uphold trust through integrity.
The MD - APAC Regional Head of Compliance position is the senior point of contact for all Compliance matters
for the APAC region and is responsible for the execution of the Compliance Program in APAC. This role reports
directly to the Moody's Corporation (MCO) Chief Compliance Officer (CCO) and is a high visibility position that
requires a candidate with extensive experience in Compliance and dealing with regulators, demonstrated
exceptional leadership ability, excellent judgment, and strong oral and written communications skills.

Responsibilities include:
  • Provide Compliance advice and guidance to Moody's businesses in the APAC region, including in Hong Kong, Singapore, Japan, and Australia
  • Serve as a subject matter expert on key Compliance risks for the APAC region, including, among other things, advising employees on conflicts of interest, confidentiality, securities trading, gifts and entertainment questions, outside business interests, recordkeeping, licensing, and regulatory disclosures
  • Serve as the senior point of contact for regulatory supervisory matters in APAC, including but not limited to, coordinating regulatory examinations, responding to regulatory requests and inquiries, advising the business and other internal stakeholders on regulatory supervisory matters, and coordinating within the global Compliance team, as may be required
  • Work with the APAC Compliance Team to perform the Compliance Risk Assessment and provide input on calibration efforts
  • Serve on the Compliance Executive Leadership Team, providing support to the CCO and other Moody's senior management members
  • Lead, develop, and manage the APAC Compliance Officers who provide day-to-day Compliance advice and support to the APAC region
  • Present and report to internal and external stakeholders on APAC Compliance matters, including participation and presentation in board of director meetings
  • Represent Compliance in complex and cross-function business-led initiatives, including providing advice and guidance on regulatory implementations and remediations
  • Support successful implementation of policies and procedures, promote consistency across jurisdictions, and facilitate escalation and appropriate resolution of compliance issues
  • Demonstrate exceptional leadership and decision-making skills, as well as influencing ability (including influencing without authority) and oral and written communication skills
  • Lead complex Compliance Department-wide projects and implement global Compliance initiatives in the APAC region
  • Engage effectively and credibly with all levels of business and other internal stakeholders globally regarding Compliance and regulatory supervisory matters
  • Operate within a diverse and inclusive culture
Qualifications:

Education, qualifications -
  • Bachelor's degree or higher in business, law or other finance related discipline
  • Qualifications or licenses in law or Compliance are highly desirable
Experience -
  • More than 20 years in one of the following:
    • Compliance professional interacting with global regulators and supporting diverse internal client groups with a demonstrated record of excellence
    • In the practice of law, either as a licensed attorney, or foreign attorney practicing in an APAC jurisdiction. Legal experience in finance related sector is desirable.
    • Experienced senior risk management officer or auditor in financial firms or consulting firms in the financial industry
  • Experience with regulators or in regulatory compliance required
  • Experience leading teams across different countries
Key Skills -
  • Highest ethical standards
  • Exceptional leadership and management skills
  • Professional demeanor, proactive, flexible, diligent, and dependable
  • Excellent verbal and written communication skills, as well as influencing and negotiation skills
  • Ability to adapt to changing market conditions and business environment
  • Ability to work effectively within a team and lead and manage a group of Compliance professionals
  • Enthusiasm and ability to learn
  • Highly organized and efficient, with an ability to multi-task and meet tight deadlines
  • Steady, calm, and positive under pressure
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.

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