Compliance Associate Compliance Associate …

Moody's
in Gurgaon, Haryana, India
Permanent, Full time
Be the first to apply
Competitive
Moody's
in Gurgaon, Haryana, India
Permanent, Full time
Be the first to apply
Competitive
Moody's
Compliance Associate
The Policy Governance Team with the Compliance Department is responsible for the administration and approval processes for all compliance and select legal owned policy, procedure and guidance documents and related applications. The team is also responsible to maintaining the content on the internal website and for coordinating posting to the external-facing company website as applicable.

The Policy Administrator role is responsible for assisting in completing assigned steps in the Policy Governance life cycle, from preparing documents for internal drafting though to posting approved documents on applicable website for employee and public use. This role is also responsible for maintaining the policy inventory, document version control, and archiving/retirement of policies and related documents.

Document Administration:
At the direction of management, responsible for following documented operating procedure (SOPs) documents and implement policy changes within SOP guidelines
• Fulfill and track document change requests
• Prepare and distribute documents or templates for drafting/editing
• Proofread returned documents and prepare them for approval stages
• Assist in the coordination of the Policy Review Committee (PRC) review process by preparing documents and materials for PRC distribution; follow-up with writers as needed
• Assist in the coordination Policy Governance Board (PGB) review/approval process by preparing documents and materials for PGB distribution; follow-up with writers as needed
• Proactively escalate issues with quality, deadlines, etc., to management
Prepare documents for pre-release and production implementation after approval
• Update the glossary with new/revised terms
• Coordinate translations if required
• Prepare final Word and pdf versions of approved documents
• Ensure proper sing-offs and certifications are received for each policy turnover

Document Management:
• Maintain the global Compliance Policy Archive document inventory (quarterly URL integrity check)
• Ensure consistent data is maintained among various spreadsheets (e.g. Document Inventory, PCO List, PPM, ComplianceNet, Compliance Glossary) or convert the spreadsheets to a database
• Update documents, as needed in the Policy & Procedure Management (PPM) system, SharePoint and department policy website (ComplianceNet)
• Maintain an audit trail of policy changes and change requests
• Complete the quality assurance process on all documents prior to reviews and implementation, e.g., consistent formatting, up to date glossary terms, grammar, etc.

Additionally this role will:
• Assist in preparing documents to respond to regulatory filing and other requests for documentation or information on policies
• Support the annual policy review and certification and semi-annual audience review processes
• Other policy governance duties as assigned

Competencies:
• Ability to work independently
• Detail- and process-oriented and highly organized
• Self-starter, with keen sense of prioritization
• Proactively escalates issues to manager when needed
• Able to function at high levels under pressure and within short turnaround times
• Completes assignments on time without error
• Can effectively manage and advance multiple concurrent projects
• Maintains a professional demeanor under pressure
• Willingness to learn new tools, highly desired

Qualifications
Required Skills:
• Proficient in Word and Excel (e.g., vlookup and other functions ulas)
• Intermediate knowledge of SharePoint and MS Access (databases development) a plus
• Excellent written and oral communications
• Good relationship building skills
• Experience with VBA, and writing macros for MSWord/Excel, highly desired
• Experience with data integration techniques, highly desired

Experience
• Minimum 3 to 5 years in policy management, compliance, audit role or similar role
• BA degree desired
• Access database and reporting tool experience

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.

Close
Loading...