Compliance Officer, Regulatory Coordination (S&P Global Ratings)
Location: New York, New York
Internal Number: 268167
The Grade: 11 (internal purposes)
The Location: New York
The Compliance Officer, Regulatory Coordination will assist in overseeing the firm's exam management, remediation and regulatory reporting for compliance in the Americas. This position will coordinate with the regional and global team members to facilitate regulatory matters.
Coordinates with colleagues across regions to ensure consistency, tracking and support for on-site regulatory exams.
Manages database used to track examinations and remediation.
Develops strategy to manage remediation framework in their region, while considering the global impact.
Coordinates compliance remediation efforts within the Americas region working in conjunction with colleagues in EMEA and APAC regions.
Reviews remediation plans from a regulatory perspective and considers sustainability.
Sets meeting agendas, determine interview scope and scheduling.
Brief personnel for meetings and participate in preparatory sessions for regulatory exams.
Consults with the Corporate and S&P legal, as needed, to resolve legal and compliance issues.
Maintains system and documentation of corrective actions taken and implemented.
Develops training and updates Policies and Procedures based on changes resulting from regulatory issues.
Develop and prepare reporting to ensure proper regional reports are in place and utilized.
Coordinate routine regulatory reporting to ensure consistency, timeliness and accuracy of reporting.
Reviews reports to identify and report issues, risks and key themes.
Functional and Business Knowledge:
The candidate will have a bachelor's degree or equivalent. 3-5 years of previous experience related to issue remediation, compliance and regulatory management, and be familiar with risk management principles and philosophies. The candidate should have experience within financial services with the ability to work within a complex regulatory environment. The candidate should have excellent project management skills, as well as excellent oral and written communication skills. The candidate should demonstrate success of navigating in a global organization, including the ability to influence others. The candidate should be self-motivated, well-organized and able to prioritize tasks and work well under pressure.
The position requires a highly developed communications skills and ability to negotiate internally and often at higher levels. External communications may be a need but not a primary focus. Analytical thought needed to resolve issues in a variety of complex situations. The incumbent considers best practices and lessons learned to evaluate solutions; makes decisions after analyzing multiple sources, internal and external. The role Impacts quality, timeliness of results, planning and revenues or budgets of own team and related teams. The incumbent will manage own work and allocate or coordinate the work of others but will not have full management responsibilities. Focus of the oversight is limited to quality and completion of work or tasks.
Required Experience and Qualifications:
3+ years of industry experience in Financial Services/ Banking or other highly regulated industry
3-5 years of experience in Compliance, Audit, Risk, or Governance
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.