The Role: The Compliance Officer role is based in New York and will be responsible for supporting the implementation and monitoring of the Compliance Program, primarily supporting S&P Global Ratings Structured Finance 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.
You will: Support the operation of the Compliance Program and in particular:
Provide a credible reliable and responsive advisory service to the S&P Global Ratings' Practices in North America to include the Structured Finance Practice and/or other Practices for which responsibility may be assigned.
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.
In supporting the implementation of the Compliance Program you will:
Execute 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.
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
Highly analytical, solutions-oriented and detail oriented
Excellent 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
Compensation/Benefits Information: (US ONLY) S&P Global states that the anticipated base salary range for this position is $110,500 to $170,000. Base salary ranges may vary by geographic location. This role is eligible to receive S&P Global benefits. For more information on the benefits we provide to our employees, visit https://www.spgbenefitessentials.com/newhires
Equal Opportunity Employer 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.
US Candidates Only: The EEO is the Law Poster http://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf describes discrimination protections under federal law.