Compliance Operations Officer (S&P Global Ratings)

  • Competitive
  • New York, NY, USA New York NY US
  • Permanent, Full time
  • S&P Global
  • 15 Aug 18 2018-08-15

Compliance Operations Officer (S&P Global Ratings)

JobDescription :

The Role:

This role is in the Compliance department and is responsible for managing and directing a wide range of global Compliance operations. The position sits within the Compliance group that maintains and updates Ratings policies and policy training, and is responsible for coordinating and harmonizing the operations of the Compliance department, both globally and among Compliance functions, including exams, regulatory matters, monitoring and covering compliance, to ensure that Compliance processes and their supporting components are designed, implemented and managed consistently and to the highest standards. This role reports to the Global Chief Matrix Officer for Ratings Compliance.

Key Responsibilities:

  • Lead the design and management of projects implementing Compliance processes and changes across the global Compliance department, including tracking improvements using standard tools including project milestones, project plans, and reports
  • Identify new solutions to meet critical business needs in support of Compliance activities globally, and manage the design of new processes
  • Develop expertise in Compliance department needs and outcomes; develop partnerships beyond the team to include stakeholders across Compliance and with other departments, including Legal, Risk, Human Resources, etc.
  • Conduct analyses to generate reports and collaborates with Compliance teams to set policies with respect to reporting
  • Assist the Global Chief Matrix Officer and senior members of the Compliance Department by managing and supporting Compliance activities across the department, with limited supervision.

Required Education, Skills and Experience:
  • Bachelor's degree or advanced degree
  • 8-10 years of relevant industry experience
  • Compliance experience and/or experience in financial services is preferred
  • Independent decision-maker, self-motivated and well-organized,
  • The ability to understand the nuances of processes and think clearly about solutions for competing priorities and to prioritize tasks and work well under pressure; project management experience helpful
  • The ability to work with sensitivity and awareness across the Compliance department and within the Ratings organization
  • Excellent influencing skills, including evidencing the ability to influence others who are not in the same line of authority
  • Effective communication and presentation skills
  • Problem Solving : Leads and uses conceptual and innovative thinking (i.e., identifying new/different solutions) to solve issues. Looks beyond immediate problems for wider implications and determines best path forward
  • Interpersonal Skills : Skilled communicator who influences and negotiates with great latitude on various outcomes for an entire Business/Segment/Function internally and externally
  • Nature of Impact : Leads and directly impacts the professional and/or technical direction and strategy for a discipline or a core product including shaping and designing new policies, procedures and standards
  • Leadership & Scope : Works to contribute own results and has supervisory responsibility to review quality of work performed by others. Coaches and mentors staff but does not make hiring, compensation or performance decisions or discussions