Compliance AVP - EMEA Regulatory Coordination

Moody's Investors Service; Frankfurt; Hybrid; EUR 70.000 - 90.000; Vollzeit

Zusammenfassung

A global financial services firm in Frankfurt seeks a Compliance AVP – EMEA Regulatory Coordination to manage compliance activity and regulatory interactions. The ideal candidate will have a strong compliance background, excellent organizational skills, and a focus on artificial intelligence in compliance. Responsibilities include coordinating responses to regulatory requests, mentoring junior team members, and preparing compliance reports. This role offers opportunities for hybrid work.

Qualifikationen

• 7+ years of experience in a compliance function for a regulated financial services institution or consultancy.
• Preferred experience with financial supervisory authorities.
• Fluency in English, both oral and written.

Aufgaben

• Coordinate responses to regulatory supervision requests.
• Collaborate with stakeholders to draft regulatory inquiries.
• Monitor regulatory changes and prepare compliance reports.

Kenntnisse

7+ years in compliance for regulated financial services

Strong team orientation and interpersonal skills

Ability to work independently

Sound judgment and independent opinions

Highly organized and efficient

Excellent English communication skills

Understanding of artificial intelligence concepts

Ausbildung

Undergraduate degree

Jobbeschreibung

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. Moody’s is transforming how the world sees risk. As a global leader in ratings and integrated risk assessment, we’re advancing AI to move from insight to action—enabling intelligence that not only understands complexity but responds to it. We decode risk to unlock opportunity, helping our clients navigate uncertainty with clarity, speed, and confidence.

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.

Skills and Competencies

• Applicants should have 7+ years of experience in a compliance function for a regulated financial services institution, consultancy, or financial supervisory authority. Experience interacting with, or working for, financial supervisory authorities is preferred.
• Strong team orientation with ability to collaborate and influence without authority. Excellent interpersonal skills with ability to build strong professional relationships at all levels.
• Works on own initiative with independent execution and without the need for close supervision.
• Sound judgment with thoughtful and insightful approach to issues; capable of developing independent opinions and defending own view, escalating issues appropriately.
• Highly organized and efficient with ability to multi-task and meet tight deadlines. Ability to work with stakeholders across multiple time zones.
• Excellent verbal and written communications skills. Fluency in oral and written English is required.
• Basic understanding of artificial intelligence concepts, with curiosity and enthusiasm for learning how AI tools can be used to improve processes and drive efficiency. Interest in exploring AI systems and a willingness to develop awareness of responsible AI practices, including risk management and ethical use.

Education

• Strong academic background with undergraduate degree is required.

Responsibilities

The Compliance AVP – EMEA Regulatory Coordination will report to the Head of RCT and will support EMEA regulatory supervision activities, working closely with the EMEA Compliance team.

• Coordinate responses to regulatory supervision requests, including information requests, exams, and onsite inspections, working closely with regional Local Compliance teams, Business Unit Compliance Officers and other business stakeholders.
• Collaborate closely with relevant business stakeholders throughout Moody’s to draft and prepare responses to regulatory inquiries and exams, including assisting with drafting narrative responses and other regulatory submissions and reviewing and providing feedback to ensure responses to regulatory requests are complete and accurate.
• Manage the compilation, review, and preparation of documentation for regulatory submission.
• Assist with preparation of staff for supervisory meetings and other interactions.
• Manage the preparation and submission of routine regulatory filings.
• Work with business stakeholders, Local Compliance Officers and Business Unit Compliance Officers to address observations and remediation items identified by regulators.
• Identify and elevate emerging issues and trends associated with inquiries and exams, and areas prioritized by regulators to manage.
• Maintain up to date knowledge of relevant regulations and rules, and applicable policies and procedures to support coordination of regulatory responses and engagement.
• Enhance and develop team processes, applications and recordkeeping to support coordinated regulatory supervision engagement.
• Engage effectively with all levels of business and other internal stakeholders globally regarding regulatory supervisory matters.
• Prepare periodic compliance reports and collate information/data necessary for internal and external presentation.
• Work closely with the global Compliance team on a variety of compliance initiatives as assigned.
• Mentor junior members of the team.

About the team

The Regulatory Coordination Team (RCT) in the Global Compliance Department works to promote transparency and business stakeholder engagement in regulatory supervision activities, and is responsible for coordinating Moody’s regulatory interaction and engagement globally.

#LI-Hybrid

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.