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JobDescription :


COMPLIANCE OFFICER – COMPLIANCE EXAMINATIONS - Centennial

The Role:   The Compliance Officer conducts periodic and targeted monitoring reviews to assess S&P Ratings’ compliance with regulations, Codes of Conduct and compliance policies and procedures.   The Compliance Officer in this role will analyze and apply compliance policy requirements and regulatory principles to the operations of S&P Ratings Services globally.  The Compliance Officer will be responsible for making assessments of whether activity comports with compliance policies and recommending and facilitating corrective actions and process controls enhancements to mitigate regulatory risks and control weaknesses.  Assignments are dynamic, requiring that compliance reviews and monitoring be responsive to regulatory mandates and emerging issues.

The Impact:
The Global Compliance Department in partnership with senior business leadership manages compliance risk across the business globally.  

The Career Opportunity:   Join a dynamic Compliance Department supporting Standard & Poor’s registered and licensed credit rating agencies.   The Compliance Department provides the opportunity to build dialogue with senior business leaders and operational heads in support of strategies to manage regulatory risk and enhance internal controls. 

The Team / The Business:  The position is within the Global Compliance Department and is based in Centennial in the Denver, Colorado, area.  The position is part of a team of nine Compliance Officers responsible for providing compliance examinations and reviews globally with members in New York, Denver, London, and Mexico City.  


Your Skills:

  • 2  years in Compliance, Control, or Monitoring, Surveillance, Examination or similar Role  in a regulated financial services institution, Credit Rating Agency, or Regulator 
  • Knowledge and understanding of credit ratings and regulatory framework is preferred.
  • Understanding of financial statement analysis and debt instruments is desired. 
  • Compliance testing  or surveillance experience  preferred, equivalent experience in operations controls or internal audit is accepted
  • Strong written and verbal skills, tactful influencing ability


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 www.spglobal.com/ratings


S&P Global is an equal opportunity employer committed to making all employment decisions on the basis of merit, capability and equality of opportunity, and without regard to race/ethnicity, gender, pregnancy, gender identity or expression, color, creed, religion, national origin, age, disability, marital status (including domestic partnerships and civil unions), sexual orientation, military veteran status, unemployment status, or any other basis prohibited by federal, state or local law, or any other characteristic that has no bearing on a person’s ability to perform his or her job.
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.

The EEO is the Law Poster http://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf describes discrimination protections under federal law.

Job ID :
225602
Posted On :
3-21-2017
Location :
Centennial, CO US
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