Compliance Officer - Regulatory Examinations Compliance Officer - Regulatory Examinations …

S&P Global
in New York, NY
Permanent, Full time
Last application, 29 Jul 21
S&P Global
in New York, NY
Permanent, Full time
Last application, 29 Jul 21
Compliance Officer - Regulatory Examinations
The Role: Compliance Officer-Regulatory Examinations

The Location: New York

The Level: 10 (internal purposes)

The Team: The team is responsible for managing the regulatory examinations for North America.

The Impact: The position is an advocate for S&P and maintains S&P's reputation and good will with regulators through inspections and inquiries.

What's in it for you: Exposure working with regulators and personnel of all levels and business functions in a global organization.

Compensation/Benefits Information (US Applicants Only):
S&P Global states that the anticipated base salary range for this position is $68,300 to $141,800. 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 .

• Assisting in determining strategy to manage regulatory requests, on-site inspections and other inquiries
• Assisting in scheduling meetings with and advising relevant business units in identifying and producing responsive documents, ensuring quality of documents produced, and managing the timely production to ensure deadlines are met on behalf of the firm
• Liaising with Legal representatives to maintain legal privilege and confidentiality
• Assist in identifying and scheduling the appropriate personnel to represent S&P in meetings and interviews with regulators
• Participate in briefing personnel for meetings and interviews and conduct preparatory sessions
• Secure administrative support for regulatory staffs' visit to S&P offices
• Maintain documentation of all correspondence received and sent, log of requests received and status of response, copies of documents provided, log of interviews and meetings held, and FOIA correspondence including bates stamp handling
• Create ad hoc PowerPoint slides of, but not limited to, regulatory interactions and topics

What We're Looking For:
• The ideal candidate will have a bachelor's degree or equivalent. 2-3 years of previous experience related to regulatory examination desired
• Some experience working with compliance monitoring systems, tracking compliance issues and issuing reports preferred
• Familiarity with risk management principles and philosophies
• Able to prioritize tasks and work well under pressure
• Self-motivated and well-organized
• Excellent project management skills
• Excellent presentation, writing and analytical skills
• Interest in global work and ability to work with various jurisdictional regulations

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 .

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: and your request will be forwarded to the appropriate person.

US Candidates Only:
The EEO is the Law Poster describes discrimination protections under federal law.


202 - Middle Professional (EEO Job Group) (inactive), 20 - Professional (EEO-2 Job Categories-United States of America), RSKMGT202.1 - Middle Professional Tier I (EEO Job Group)

Job ID: 263210
Posted On: 2021-07-13
Location: New York, New York, United States
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