Credit ratings agency for over 170,000 corporate, government, and structured finance securities. Agency also provides research data and analytic tools for assessing credit risk, and publishes market-leading credit opinions, deal research and commentary, serving more than 9,300 customer accounts at some 2,400 institutions around the globe.
- Support all aspects of daily legal and compliance needs for ~4000 Moody's employees across Moody's Investors Service.
- Lead Global Regulatory Reporting Team, insuring the timely filing of reports in all markets that MIS operates.
- Evaluate, analyze and report out on recently enacted EU and US legislation (i.e. Dodd-Frank), requiring the registration, certification and endorsement of credit ratings agencies.
- Conduct internal investigations regarding potential violations of the Securities Trading Policy, the Code of Conduct and other policies and procedures.
- Design monitoring and surveillance protocols to review and assess the effectiveness of internal controls (e.g. OFAC, Conflicts of Interest and Outsourcing). Develop and implement remediation plans.
- Ensure that the business has appropriate policies and procedures in place. Assess, design and drive completion of necessary upgrades, updates and new policies in response to regulatory drivers, other external drivers and business changes.
- Design and lead new hire training and company-wide training initiatives on new and/or updated corporate policies and procedures.
- Lead compliance initiatives to implement new regulatory requirements for greater transparency and avoidance or mitigation of conflicts of interest in the credit rating process.
Key projects included: o Planned and coordinated cross-functional initiative to add additional functionality to securities trading system to track employee holdings and transactions.
o Collection and updating of securities trading system containing employee records of securities holdings and transactions.
o Ensure that the business has appropriate policies and procedures in place. Assess, design and drive completion of necessary upgrades, updates and new policies in response to regulatory drivers, other external drivers and business changes.
o Provided business specifications and led development for new conflict of interest self-certification process for analysts prior to the commencement of a credit ratings action. Engaged in monitoring and additional development of electronic tool.
o Led the development, implementation, delivery and reporting of results for Moody's annual conflicts of interest survey.
o Assisted in the drafting, preparation and filing of Moody's registration application and Transparency Report before EU regulator and Form NRSRO before the SEC.