Compliance Associate
Compliance Associate
Compliance Associate
Compliance Associate
Compliance Associate

Compliance AssociateMoody's

The Role / Responsibilities

The Compliance Associate will work as a project manager in an evolving regulatory environment within the Global Compliance Project Management and Regulatory Filings team.
The individual will assist the Compliance team by managing projects related to regulatory filings and other compliance projects as requested and perform routine ad-hoc, quarterly, and year end activities. 

The Compliance Associate will be responsible for:

• Effectively managing the compliance projects assigned to him/her
• Developing and maintaining project plans while working with local Compliance officers in the delivery of accurate and timely regulatory filings
• Obtaining data inputs from various stakeholders across the firm to satisfy regulatory filing requirements
• Managing multiple, concurrent projects at a time while adhering to the core project management processes and procedures within the team and maintaining a high level of control, quality and consistency for all assigned projects
• Defining and articulating clearly project milestones and dates
• Ensuring efficient and effective project delivery using follow-ups, detailed and well thought out scheduling/planning efforts, identification of risks, escalating to manager where necessary, and the production and filing of required records including project artifacts
• Managing project documentation in centralized data repository
• Providing accurate and timely weekly project updates using a centralized reporting system
• Supporting the US and LATAM Compliance team as requested
• Assisting in the preparation of periodic management reporting
• Preparing weekly status reports and management dashboards
• Preparing project setup activities in Q4 for upcoming regulatory filings
• Participate in SOP updates, records retention reviews and other internal team projects as requested


• Excellent written and verbal communication skills
• Experience as a project manager within a financial industry regulator, law firm, and/or compliance department of a regulated financial services firm, or within a PMO organization working on Compliance (non-IT) projects is a plus
• Reporting experience, regulatory reporting a plus
• Strong interest in compliance work
• Strong academics with a BA / BSc / Master’s Degree (or equivalent)
• Strong attention to detail
• Well organized and efficient, with the ability to multi-task and meet tight deadlines in a highly regulated environment

The position will support US and LATAM region, working hours: 2PM – 10PM (Lithuania time)