Vice President - Regulatory Compliance

LGBT Great; Greater London; On-site; GBP 60,000 - GBP 80,000; Full time

Job summary

A global financial services firm is seeking a Compliance Officer in London. The role involves supporting regulatory engagement and leading responses to requests. Ideal candidates will have a strong academic background in law and experience in regulatory compliance. Responsibilities include advising on business initiatives, preparing stakeholders for regulatory interactions, and supporting the compliance program. This position offers the opportunity to work in an evolving regulatory environment with a diverse team.

Qualifications

• Strong academic background, preferably in law.
• Demonstrable experience working in a regulatory compliance capacity.
• Ability to influence stakeholders and manage multiple projects.

Responsibilities

• Lead responses to regulatory requests and interactions.
• Prepare stakeholders for regulatory interactions including onsite visits.
• Advise business initiatives and participate in remediation efforts.
• Provide senior review of regulatory reports.
• Support the development of the company's compliance programme.

Skills

Experience in financial regulation

Judgment and critical thinking

Excellent communication skills

Organizational skills

Understanding of AI in compliance

Education

Post-graduate master's degree in law

Job description

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

• Demonstrable experience working within a financial industry regulator and/or Compliance department of a regulated financial services firm in a regulatory compliance capacity engaging directly with the FCA/PRA (or other similar regulators) across a range of supervisory priorities
• Demonstrated ability to translate supervisory expectations into practical business steers and actions and exercise clear judgement when doing so
• Demonstrable experience building multi-disciplinary stakeholder relationships on cross-organisational projects
• Ability to exercise judgment and critical thinking, thoughtful and insightful approach to analysis, identification and escalation of emerging issues and/or risks expeditiously
• Excellent communication skills with ability to drive and influence stakeholder and supervisory dialogue
• Highly organized with the ability to work across multiple projects, work independently under limited supervision and meet tight deadlines
• Basic understanding of artificial intelligence concepts, with curiosity and enthusiasm for learning how AI tools can be used to improve processes and drive efficiency. Interest in exploring AI systems and a willingness to develop awareness of responsible AI practices, including risk management and ethical use

Education

• Strong academic background, including post-graduate master degree, preferably in law

Responsibilities

The Compliance Officer will work in an evolving regulatory environment and will assist the Compliance Department, in particular the UK Compliance team, in supporting regulatory engagement, as well as implementing and administering the Company's compliance program. The individual will act as a senior Compliance Officer in a generalist advisory capacity. The role will involve:

• Leading on responses to regulatory requests, including, interacting with internal stakeholders to gather and review documents and drafting response letters
• Preparing materials and internal stakeholders for regulatory interactions including onsite visits
• Advising the business on business initiatives and participating in business remediation efforts
• Providing senior review of regulatory reports submitted to the relevant regulatory authorities
• Provision of day-to-day business advisory services in the region in coordination with the global and EMEA Compliance team
• Engage effectively with management at all levels and key stakeholders globally regarding supervisory and other general compliance matters
• Support the development, implementation and administration of the company's compliance programme including Compliance risk assessment exercises
• Participating in other core Compliance responsibilities as necessary, including, policies review, drafting and training

About the team

Moody's Compliance function operates globally to provide Compliance support, guidance and implementation to its business lines. This role is part of the UK Compliance advisory team who is responsible for implementing and administering the company's internal Compliance program across the UK region and closely interacts with EMEA Compliance team, located outside the UK, as well as Central Compliance functions, primarily located in the US.

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.