Job Description

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 AustraliaServe 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 disclosuresServe 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 requiredWork with the APAC Compliance Team to perform the Compliance Risk Assessment and provide input on calibration effortsServe on the Compliance Executive Leadership Team, providing support to the CCO and other Moody’s senior management membersLead, develop, and manage the APAC Compliance Officers who provide day-to-day Compliance advice and support to the APAC regionPresent and report to internal and external stakeholders on APAC Compliance matters, including participation and presentation in board of director meetingsRepresent Compliance in complex and cross-function business-led initiatives, including providing advice and guidance on regulatory implementations and remediationsSupport successful implementation of policies and procedures, promote consistency across jurisdictions, and facilitate escalation and appropriate resolution of compliance issuesDemonstrate exceptional leadership and decision-making skills, as well as influencing ability (including influencing without authority) and oral and written communication skillsLead complex Compliance Department-wide projects and implement global Compliance initiatives in the APAC regionEngage effectively and credibly with all levels of business and other internal stakeholders globally regarding Compliance and regulatory supervisory mattersOperate within a diverse and inclusive culture

Qualifications:

Education, qualifications -

Bachelor's degree or higher in business, law or other finance related disciplineQualifications 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 excellenceIn 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 industryExperience with regulators or in regulatory compliance requiredExperience leading teams across different countries

Key Skills -

Highest ethical standardsExceptional leadership and management skillsProfessional demeanor, proactive, flexible, diligent, and dependableExcellent verbal and written communication skills, as well as influencing and negotiation skillsAbility to adapt to changing market conditions and business environmentAbility to work effectively within a team and lead and manage a group of Compliance professionalsEnthusiasm and ability to learnHighly organized and efficient, with an ability to multi-task and meet tight deadlinesSteady, 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.