Assistant General Counsel (US/Canada Regulatory)

Moody's Investors Service; New York (NY); On-site; USD 198,000 - 288,000; Full time

Job summary

An established industry player is seeking an Assistant General Counsel to provide timely legal advice on US and Canadian regulatory matters. This role involves interpreting regulations, advising on compliance, and collaborating with various teams to manage legal risks effectively. The ideal candidate will have extensive experience in regulatory affairs, strong interpersonal skills, and a commitment to delivering practical solutions. Join a dynamic environment where your expertise will help shape the future of financial services and contribute to meaningful regulatory initiatives.

Benefits

Comprehensive benefits package

401(k) plan with contributions

Tuition reimbursement

Parental leave

Paid time off

Life and disability insurance

Discounted employee stock purchase plan

Qualifications

• 10-15 years of experience in US regulatory matters.
• Strong knowledge of SEC regulations and financial services.
• Admission to a state bar association required.

Responsibilities

• Provide legal advice on US and Canada regulatory matters.
• Advise on CRA regulations and internal controls.
• Support regulatory inquiries and compliance.

Skills

US regulatory matters

SEC regulation knowledge

Experience with credit rating agencies

Experience with Canadian regulation

International environment experience

Strong interpersonal skills

Ability to multitask

Business acumen

Education

Admission to state bar association

J.D. from accredited law school

Strong academic credentials

Job description

Location(s):

• 7 World Trade Center, 250 Greenwich Street, New York, New York, 10007, US

Line Of Business:

Legal(LEGAL)

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.

Skills and Competencies:

• Approximately 10-15 years of relevant combined experience focusing on US regulatory matters at a leading law firm, US governmental agency such as the DOJ or SEC, and/or as in-house corporate counsel
• Strong technical skill with a demonstrable interest and extensive knowledge of SEC regulation and other areas of financial services regulation
• Experience with credit rating agencies (CRAs) or CRA regulation would be highly beneficial
• Experience with Canadian regulation or other international financial services regulation would be a plus
• Experience working in an international environment with globally distributed teams; working with a diverse range of individuals of varying seniorities
• Highly motivated and intellectually curious, with a willingness to learn and adapt as regulations, technology, and business initiatives evolve
• Demonstrate business acumen and strong work ethic with a penchant for practical, balanced, client-focused solutions
• Collaborative partner who functions well as part of a team; strong interpersonal skills
• Ability to work under pressure and provide results within established timeframes; able to multitask and prioritize effectively
• Able to quickly grasp diverse and sophisticated issues

Education:

• Admission to at least one state bar association
• J.D. from an accredited law school
• Strong academic credentials

Responsibilities:

The Assistant General Counsel will play an important role in providing Moody's Ratings with timely, practical, and balanced legal advice, guidance, and services to help the business prudently manage risk, primarily focusing on US and Canada regulatory matters.

• Interpret credit rating agency (CRA) regulations and advise on implementation, policies, and procedures.
• Advise on regulatory inquiries, information requests, and examinations, including interviews and onsite inspections, and associated remediations.
• Advise on regulatory reporting and filing requirements, including ad-hoc and periodic disclosure and reporting requirements.
• Advise on Moody’s Ratings’ internal controls framework and functions, and provide governance advice and board support as needed.
• Advise Moody’s Ratings Risk Management team and collaborate with them on the development and reporting of legal risk management metrics and other initiatives.
• Support Moody’s Government, Public & Regulatory Affairs (GPRA) team on policy initiatives relating to Moody’s Ratings’ business.
• Advise on insider trading, and competition/antitrust laws as they relate to the Moody’s Ratings business.
• Advise on errors and corrections in Moody’s Ratings processes and publications.
• Provide technical legal interpretation and advice to the Moody’s Ratings business in relation to operational resilience, outsourcing, third-party risk management, and equivalent regulation.
• Observe at or participate in Moody’s Ratings business committees where required to provide regulatory advice.
• Coordinate with and support the Moody’s Litigation, Employment & Government Investigations (LEGIT) Legal team as needed on regulatory enforcement actions, litigation, government investigations, third-party subpoenas, and other requests from Non-Credit Rating Agency regulators.

For US-based roles only: the anticipated hiring base salary range for this position is [$198,300.00 - $287,550.00], depending on factors such as experience, education, level, skills, and location. This range is based on a full-time position. In addition to base salary, this role is eligible for incentive compensation. Moody’s also offers a comprehensive benefits package, including medical, dental, vision, parental leave, paid time off, a 401(k) plan with employee and company contributions, life, disability, and accident insurance, a discounted employee stock purchase plan, and tuition reimbursement.

Moody’s is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, sex, gender, age, religion or creed, national origin, ancestry, citizenship, marital or familial status, sexual orientation, gender identity, gender expression, genetic information, physical or mental disability, military or veteran status, or any other characteristic protected by law. Moody’s also provides reasonable accommodations to qualified individuals with disabilities or based on sincerely held religious beliefs in accordance with applicable laws. If you need to inquire about a reasonable accommodation or need assistance with the application process, please email [e-mail]. This contact is for accommodation requests only, not application status inquiries.

For San Francisco positions, qualified applicants with criminal histories will be considered for employment consistent with the San Francisco Fair Chance Ordinance.

This position may be considered a promotional opportunity under the Colorado Equal Pay for Equal Work Act.

Click here to view our EEO policy statement. Click here for more information on your EEO rights under the law. Click here to view our Pay Transparency Nondiscrimination statement. Click here to view our Notice to New York City Applicants.

Candidates may be asked to disclose securities holdings pursuant to Moody’s Policy for Securities Trading. Employment is contingent upon compliance with this policy, including remediation of holdings as necessary. For more on the Securities Trading Program, see the STP Quick Reference guide on ComplianceNet. Categories are assigned by hiring teams and may change over an employee’s tenure with Moody’s.