Christopher Copley - Assistant Vice President, Compliance - Moody's Corporation | Himalayas
CC
Looking for a job

Christopher Copley

@christophercopley1

Regulatory compliance expert with a passion for finance and law.

United States

What I'm looking for

Seeking a challenging role in regulatory compliance that leverages my expertise in finance and law to drive business growth and ensure adherence to industry standards.

As a highly motivated and detail-oriented professional, I have built a strong foundation in regulatory compliance and finance. With a Juris Doctor from Brooklyn Law School and a Bachelor of Business Administration in Finance from Baruch College, CUNY, I possess a unique understanding of the intersection of law and finance. My experience in regulatory coordination, compliance, and risk management has equipped me with the skills to navigate complex regulatory frameworks and ensure adherence to industry standards.

Throughout my career, I have demonstrated exceptional analytical and problem-solving skills, with a proven track record of streamlining processes, improving efficiency, and providing expert guidance to senior leadership. My expertise in credit rating agency statutes and regulations, as well as my experience with digital assets, has enabled me to stay at the forefront of emerging trends in the financial industry.

I am a certified fraud examiner and hold FINRA Series 3 and 34 certifications, further solidifying my credentials as a regulatory compliance expert. I am committed to staying up-to-date with industry developments and best practices, ensuring that my skills and knowledge remain current and relevant.

Experience

Work history, roles, and key accomplishments

MC

Assistant Vice President, Compliance

Moody's Corporation

Feb 2023 - Aug 2023 (6 months)

Managed regulatory examinations and inquiries from credit rating agency regulators across Asia, Europe, and the Middle East. Reviewed documents submitted by stakeholders for accuracy, completeness, and consistency with regulatory frameworks.

NA

Supervisor II, Compliance

NFA (National Futures Association)

Jun 2014 - Jul 2022 (8 years 1 month)

Completed over 300 regulatory submissions and exams of NFA Member Firms by performing risk-based procedural and financial compliance testing to ensure compliance with CFTC regulations and NFA rules.

HA

Research Assistant

Haver Analytics

Sep 2013 - Jun 2014 (9 months)

Captured and published financial data from global data publishers on proprietary databases. Performed quality control and technical checks of database functionality.

MS

Summer Analyst

Morgan Stanley

May 2013 - Aug 2013 (3 months)

Drafted over 250 derivatives master trading contracts. Created Excel-based platform to streamline collateral schedule approval process.

Education

Degrees, certifications, and relevant coursework

Christopher hasn't added their education

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Tech stack

Software and tools used professionally

Availability

Looking for a job

Location

United States

Authorized to work in

Salary expectations

160k-215k USD

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