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JobDescription :

The Role:

The Compliance Officer is based in New York and responsible for supporting the implementation and monitoring of the Compliance Program primarily for S&P Ratings Services in North America. The role involves a range of activities, including assisting North America Cover Compliance Officers in providing a Compliance advisory service, in the education program, in reporting to regional senior management on compliance developments, and in participating in investigations and compliance monitoring activities.

Essential Accountabilities / Percentage of Time:

Covering Compliance, Advisory, Support and Direction - 65%

You will: 

  • Support the operation of the Compliance Program and in particular:
  • 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 Officer (RCCO) and, at times, the Chief Compliance Officer (North America) on significant compliance matters and issues; participate on relevant committees; identify operational/ IT resources required for an effective compliance program and relay those requirements to the RCCO and CCO (North America) for evaluation and execution.
  • Execute a compliance communication program for the organization throughout your area 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.
  • Provide advice on compliance implications of new business proposals and operational changes.


Compliance Program On-Going Development and Implementation - 25%

In supporting the implementation of the Compliance Program you will:

Execute an effective Compliance Program that:

  • Identifies regulatory requirements and attendant risks for your area

  • 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.

Direct the on-going enhancement of a state-of-the-art compliance training program for existing staff in your Offices and across North America.

Coordinate compliance activities in the Offices, remain abreast of the status of all compliance activities and identify trends.

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 difficult legal and compliance issues.

Perform compliance reviews and compliance risk assessments, identifying any weaknesses and where necessary recommending / following-up corrective actions.

Coordinate with local management, staff and compliance management in the determination, follow-up and escalation of issues arising from monitoring activities.


Reporting Responsibilities - 5%

You will:

  • 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 RCCO and management informed of the operation and progress of compliance efforts.


Required Education, Skills and Experience:

  • 2-3 years of directly related, comparable compliance experience within a large financial services firm
  • A bacherlor's degree is required - a legal degree is preferred
  • Series 7 certification is a definite plus
  • Strong interpersonal and team skills 
  • Strong oral and written communication skills
  • Highly 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 Power point

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


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Job ID :
Posted On :
Location :
New York, NY US
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