About the Role:Grade Level (for internal use):12The Role: Compliance OfficerThe Compliance Officer role is based in Englewood or New York and the successful candidate will be responsible for supporting the implementation and monitoring of the Compliance Program primarily for S&P Global Ratings in North America. The role involves a range of activities, including assisting in providing a Compliance advisory service, in the education program, in reporting to regional senior management on compliance developments, and in conducting investigations, logging and tracking Complaints and compliance monitoring activities.The Team: Working with Compliance Officers both in North America and globally, the Compliance Officer will be the primary liaison point between any assigned Ratings Practice (and/or assigned Cross Practice Responsibilities) from a Compliance Stakeholder perspective. The role encompasses providing advice to the Analytical Practice (and supporting functions) on Policies & Procedures, conducting reviews/investigations, logging and tracking Complaints, performing monitoring and surveillance, attending and representing Compliance at relevant internal committees and analytical huddles, providing Compliance related training and education, and, other ad hoc team responsibilities as allocated.The Impact: The successful candidate will have a key role in shaping the Compliance program and keeping Risk & Compliance management informed of matters & initiatives within the assigned Ratings Practice (and/or assigned Cross Practice Responsibilities).Responsibilities include :
Provide a credible reliable and responsive advisory service to the Ratings Businesses as well as key support personnel;
Provide advisory services to staff and management and to the Regional Covering Compliance Managers (RCCM) and, at times, the Chief Compliance Officer (North America) on significant compliance matters and issues;
Assist in the execution of a compliance communication program for the organization throughout your areas of coverage 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 effort by covering and advising on compliance matters in other North American offices.
Identifies regulatory requirements and attendant risks for your area of coverage;
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 investigative procedures, as appropriate;
Ensures consistency in control methodologies and in interpretation of results;
Identify potential areas of compliance vulnerability and risk; implement corrective action and provide general guidance on how to avoid or deal with similar situations in the future;
Collaborate with other departments (e.g., Legal, Risk Management, Human Resources, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution. Consult with S&P Global Regulatory Affairs and Legal, as needed, to resolve more complex legal and compliance issues;
Perform compliance reviews and compliance risk assessments, identifying any weaknesses and where necessary recommending / following-up on corrective actions;
Direct the on-going enhancement of a state-of-the-art compliance training program for existing staff both in your Office and across North America;
Coordinate with local management, staff and compliance management in the determination, follow-up and escalation of issues arising from monitoring activities;
Coordinate compliance activities across all North America Offices where employees from your Practice coverage area/s are based, remain abreast of the status of all compliance activities and help in identifying trends.
Ensure proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required;
Direct the conduct, reporting and follow-up of any compliance-related internal investigations (or the compliance-related aspects of any wider internal investigations);
Provide reports on a regular basis, and as directed or requested, to keep the RCCMs and Compliance management informed of the operation and progress of compliance efforts.
What we are looking forRequired Education, Skills and Experience:
5-8 years of directly related / comparable compliance experience within a large financial services firm;
Hold a bachelor's degree (a legal qualification is desirable);
Series 7 certification is a definite plus;
Strong interpersonal and team skills;
Strong verbal and written communication skills;
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 PowerPoint.
Compensation/Benefits Information (US Applicants Only):S&P Global states that the anticipated base salary range for this position is $103,800 to $206,350. Base salary ranges may vary by geographic location.In addition to base compensation, this role is eligible for an annual incentive plan.This role is eligible to receive additional S&P Global benefits. For more information on the benefits we provide to our employees, visit https://www.spgbenefitessentials.com/newhires .About S&P Global RatingsAt S&P Global Ratings, our analyst-driven credit ratings, research, and sustainable finance opinions provide critical insights that are essential to translating complexity into clarity so market participants can uncover opportunities and make decisions with conviction. By bringing transparency to the market through high-quality independent opinions on creditworthiness, we enable growth across a wide variety of organizations, including businesses, governments, and institutions.S&P Global Ratings is a division of S&P Global (NYSE: SPGI). S&P Global is the world’s foremost provider of credit ratings, benchmarks, analytics and workflow solutions in the global capital, commodity and automotive markets. With every one of our offerings, we help many of the world’s leading organizations navigate the economic landscape so they can plan for tomorrow, today.For more information, visit www.spglobal.com/ratingsWhat’s In It For You?Our Purpose:Progress is not a self-starter. It requires a catalyst to be set in motion. Information, imagination, people, technology–the right combination can unlock possibility and change the world.Our world is in transition and getting more complex by the day. We push past expected observations and seek out new levels of understanding so that we can help companies, governments and individuals make an impact on tomorrow. At S&P Global we transform data into Essential Intelligence®, pinpointing risks and opening possibilities. We Accelerate Progress.Our People:We're more than 35,000 strong worldwide—so we're able to understand nuances while having a broad perspective. Our team is driven by curiosity and a shared belief that Essential Intelligence can help build a more prosperous future for us all.From finding new ways to measure sustainability to analyzing energy transition across the supply chain to building workflow solutions that make it easy to tap into insight and apply it. We are changing the way people see things and empowering them to make an impact on the world we live in. We’re committed to a more equitable future and to helping our customers find new, sustainable ways of doing business. We’re constantly seeking new solutions that have progress in mind. Join us and help create the critical insights that truly make a difference.Our Values:Integrity, Discovery, PartnershipAt S&P Global, we focus on Powering Global Markets. Throughout our history, the world's leading organizations have relied on us for the Essential Intelligence they need to make confident decisions about the road ahead. We start with a foundation of integrity in all we do, bring a spirit of discovery to our work, and collaborate in close partnership with each other and our customers to achieve shared goals.Benefits:We take care of you, so you can take care of business. We care about our people. That’s why we provide everything you—and your career—need to thrive at S&P Global.Our benefits include:
Health & Wellness: Health care coverage designed for the mind and body.
Flexible Downtime: Generous time off helps keep you energized for your time on.
Continuous Learning: Access a wealth of resources to grow your career and learn valuable new skills.
Invest in Your Future: Secure your financial future through competitive pay, retirement planning, a continuing education program with a company-matched student loan contribution, and financial wellness programs.
Family Friendly Perks: It’s not just about you. S&P Global has perks for your partners and little ones, too, with some best-in class benefits for families.
Beyond the Basics: From retail discounts to referral incentive awards—small perks can make a big difference.
For more information on benefits by country visit: https://spgbenefits.com/benefit-summariesDiversity, Equity, and Inclusion at S&P Global:At S&P Global, we believe diversity fuels creative insights, equity unlocks opportunity, and inclusion drives growth and innovation – Powering Global Markets. Our commitment centers on our global workforce, ensuring that our people are empowered to bring their whole selves to work. It doesn’t stop there, we strive to better reflect and serve the communities in which we live and work, and advocate for greater opportunity for all.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.Equal Opportunity EmployerS&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.202 - Middle Professional (EEO Job Group) (inactive), 20 - Professional (EEO-2 Job Categories-United States of America), RSKMGT202.2 - Middle Professional Tier II (EEO Job Group)Posted On: 2024-05-27Location: Boulder, Colorado, United States
Full-time