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Senior Compliance Specialist

2 weeks ago

Hong Kong, Hong Kong SAR China Moody's Full time
Location(s):
  • Moody's Analytics Hong Kong Ltd, The Center, 99 Queen's Road, Central, Hong Kong, Suite 5608-5610, 56th Floor, 10278, 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.
Role/Responsibilities:
The Senior Compliance Associate (SCA) will work within the Global Compliance Program Office, primarily supporting the APAC Compliance team. This role will work closely with the APAC Compliance team and support the Compliance Risk Assessment, Reporting, Metrics, Training, and Horizon Risk routines.
The SCA will be responsible for:
  • Facilitating and supporting the annual Compliance Risk Assessment process for APAC Compliance, including working with Business Unit Compliance Officers (BUCOs) and the APAC Compliance team to complete the Compliance Risk Assessment reviews
  • Assisting with the Compliance Risk Assessment calibration process with Compliance senior management, including drafting narratives and preparing final results, findings, and reports for senior management
  • Reviewing and updating Compliance training courses and participating in the review and revision routines
  • Preparing and reviewing APAC Regulatory and Compliance metrics, including preparing quarterly updates with BUCOs, LCOs, and Compliance senior management
  • Preparing APAC Compliance reporting for internal and external stakeholders, including but not limited to business and Compliance senior management, global regulators, and global and regional boards of directors
  • Facilitating the review and preparation in advance of APAC board meetings and APAC regulatory meetings, including preparing talking points and background information for senior management
  • Supporting the Compliance Horizon Risk process within APAC, which is an ongoing review of emerging risks and issues, and document, disposition, and track any required follow-ups
  • Assisting with the drafting and review of communications and other ad hoc presentations and reports for APAC Compliance
  • Developing operating procedures for key processes following best practice models
Qualifications:
  • Excellent written and verbal communication skills and project management experience
  • Degree preferred in related field
  • Ability to manage tasks to meet project deliverables on time and error free
  • Ability to analyze current processes and workflows and make substantive suggestions for improvement
  • Expert in the Office suite, particularly Excel (charts, graphs, VLookUps, etc.), Word and PowerPoint
  • Knowledge of Access, SharePoint, and Power BI and Automate a plus
Working at Moody's

Moody's is a developmental culture where we value candidates who are willing to grow. So, if you are excited about this opportunity but don't meet every single requirement, please apply You may be a perfect fit for this role or other open roles.
Moody's is a global integrated risk assessment firm that empowers organizations to make better decisions.

Want to know more about us? Please follow this link to know what identifies us as Moody's.