Senior Compliance Associate- Securities Trade Monitoring

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

• Securities Trade Monitoring: Two to four years of experience in employee trade surveillance to administer trading policies, manage restricted lists, and use compliance monitoring platforms
• Data Analysis & Investigation: Required are strong analytical skills, including Excel (formulas, pivots), to review trade data, investigate potential exceptions, and generate reports for management
• Communication & Advisory: Required are strong written and verbal communication skills to provide clear guidance to employees on the trading program and respond effectively to queries
• Organization & Initiative: Required are excellent organizational skills and the ability to work independently to manage multiple tasks and meet tight deadlines in a fast-paced environment
• AI Awareness: Desired is a basic understanding of AI concepts and enthusiasm for learning how AI tools can be used to drive process efficiency and improve surveillance techniques.

Education
Bachelor’s degree is required, advance degree is a plus

Responsibilities
Administer Moody's global securities trading program, monitoring employee trades to prevent conflicts of interest and ensure policy compliance.

• Participate in all aspects of the day-to-day operations of the Securities Trade Monitoring Unit
• Provide oversight and maintenance of employee securities trading classifications, restricted lists, and exempted securities in the FIS Protegent ECM platform
• Research securities, such as global equities, bonds, and mutual funds, for assignment to restricted lists
• Manage daily monitoring of employee trades, including pre & post trade clearance, statement review, and account maintenance
• Maintain books and records relating to the Securities Trade Monitoring Unit
• Identify and conduct investigations for potential exceptions
• Analyze data to generate ongoing reviews and reports
• Respond to queries from employees
• Provide advice and guidance to monitored employees and Compliance teams related to the Moody’s Securities Trading Program

About The Team
The Compliance Securities Trade Monitoring Unit is responsible for administering Moody’s Securities Trading Program across Moody’s globally. By joining our team, you will be part of exciting work in the Compliance team, working alongside a best-in-class team of professionals.

For US-based roles only: the anticipated hiring base salary range for this position is $82,400.00 - $119,450.00, 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 competitive benefits package, including not but limited to medical, dental, vision, parental leave, paid time off, a 401(k) plan with employee and company contribution opportunities, 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 accommodation to qualified individuals with disabilities or based on a sincerely held religious belief in accordance with applicable laws. If you need to inquire about a reasonable accommodation, or need assistance with completing the application process, please email [email protected] . This contact information is for accommodation requests only, and cannot be used to inquire about the status of applications

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

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

Click here to view our full 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 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.