Grade ( relevant for internal applicants only ): 11
The Location: New York
The Compliance Officer is based in New York and will be responsible for supporting the implementation and monitoring of the Compliance Program, primarily supporting the S&P Global Ratings USPF Practice in North America. The role involves a range of activities, including providing: (i) Compliance advisory services, (ii) education & training, (iii) reporting to regional senior management on compliance developments, and, (iv) participating in reviews, investigations and other compliance monitoring / ad hoc activities.
The Responsibilities: You will support the operation of the Compliance Program and in particular:
Provide a credible reliable and responsive advisory service to the USPF Ratings Business (or other practice area/s as designated)
Provide advisory services to staff and management and to the Regional Senior Compliance Manager (RSCM), and, at times, the Chief Compliance Officer (CCO) (North America) on significant compliance matters/issues and participate on relevant committees
Execute a compliance communication program for the organization throughout your area that promotes (a) heightened awareness of Standards of Conduct, and (b) understanding of new and existing compliance issues and related policies and procedures
Assist the wider regional Compliance effort by covering and advising on compliance matters in other practices/areas/offices
Provide advice on compliance implications of new business proposals and operational changes within the areas of your responsibility
Support the establishment and/or enhancement of policies and procedures as well as their implementation
Review and monitor adherence to regulatory requirements, policies and procedures
You will support the Execution of an effective Compliance Program that:
Identifies regulatory requirements and attendant risks for your area
Assesses and measures the magnitude of regulatory and reputational risks for your area
Establishes routines and methods to evaluate and respond to exceptions including recommending and conducting investigative procedures, as appropriate
Ensures consistency in control methodologies and in interpretation of results
Ensures collaboration with the 2nd line and 3rd lines of defense functions to ensure that issues being escalated are followed up and resolved appropriately. Consult with Legal & Regulatory Affairs Department, as needed, to resolve complex regulatory and compliance issues
Required Education, Skills and Experience:
3-5 years of directly related, comparable compliance experience
A bachelor's degree is required
Strong interpersonal and team skills
Strong oral and written communication skills
Analytical, solutions-oriented and detail oriented
Presentation skills and ability to provide compliance training to all levels
Self-motivated and well-organized; able to prioritize tasks and work well under pressure; able to stay abreast of changing regulatory rules and procedures in a developing industry
Proficiency in Excel, Word and Power Point
About S&P Global Ratings
S&P Global Ratings is the world's leading provider of independent credit ratings. Our ratings are essential to driving growth, providing transparency and helping educate market participants so they can make decisions with confidence. We have more than 1 million credit ratings outstanding on government, corporate, financial sector and structured finance entities and securities. We offer an independent view of the market built on a unique combination of broad perspective and local insight. We provide our opinions and research about relative credit risk; market participants gain independent information to help support the growth of transparent, liquid debt markets worldwide.
S&P Global Ratings is a division of S&P Global (NYSE: SPGI), which provides essential intelligence for individuals, companies and governments to make decisions with confidence. For more information, visit www.spglobal.com/ratings.
Compensation/Benefits Information (US Applicants Only):
S&P Global states that the anticipated base salary range for this position is $83,200 to $172,800. Base salary ranges may vary by geographic location.
In addition to base compensation, this role is eligible for an annual incentive plan.
S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to the Policy's requirements, candidates at S&P Global may be asked to disclose securities holdings. Some roles may include a trading prohibition and remediation of positions when there is an effective or potential conflict of interest. Employment at S&P Global is contingent upon compliance with the Policy.
S&P Global is an equal opportunity employer and all qualified candidates will receive consideration for employment without regard to race/ethnicity, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, marital status, military veteran status, unemployment status, or any other status protected by law. Only electronic job submissions will be considered for employment.
If you need an accommodation during the application process due to a disability, please send an email to: EEO.Compliance@spglobal.com and your request will be forwarded to the appropriate person.