Compliance Officer, Regulatory Coordination (S&P Global Ratings)

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • S&P Global
  • 14 Oct 18

Compliance Officer, Regulatory Coordination (S&P Global Ratings)

JobDescription :

The Role:

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.

Key Responsibilities:

  • 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:
  • Bachelor's degree
  • 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