The Role: The Analyst within Ratings Compliance & Control is responsible for planning and conducting compliance reviews and monitoring to assess S&P Global Ratings' compliance with regulations, Codes of Conduct and compliance policies and procedures.
Conduct periodic and targeted monitoring and reviews of the credit ratings process, research publications, communications with the public, and internal communications.
Carry out testing in accordance with established procedures and methodology to reach conclusions on compliance with regulations and policies and effectiveness of controls, as well as contribute to development of new and customized testing approaches.
Document test procedures, analysis, and conclusions in workpapers.
Explain and support results of reviews internally to stakeholders and compliance management and recommend remediations that mitigate regulatory risks and control weaknesses.
Prepare written planning and scope memoranda and reports of reviews conducted, conclusions and required actions.
Identify and understand regulations, policies, operational processes, and controls to be reviewed.
The Impact: The Global Compliance Department in partnership with business leadership manages compliance risk across the business globally.
The Career Opportunity: Join a dynamic Compliance Department empowering S&P Global Ratings' registered and licensed credit rating agencies to meet the demands of a changing regulatory framework. The Compliance Department provides the opportunity to provide valued advice and support strategies to senior business leaders and operational managers to manage regulatory risk and enhance internal controls.
The Team / The Business: The position is within the Global Compliance Department and is based in New York or Centennial, USA. The position is part of a team of fourteen Compliance Officers responsible for providing compliance monitoring and reviews globally with members in New York, Centennial, London, and Mexico City.
2 years of professional experience in a financial services provider
Interest in understanding of credit ratings and regulatory framework
Understanding of financial statement analysis, fundamentals of debt instruments and asset securitization is desired
Compliance testing, monitoring or transactional surveillance experience preferred
Experience that demonstrates ability to undertake fact-discovery, collect and organize large datasets, and explain conclusions and recommendations
Our Hiring Manager Says: Credit Rating Agencies are among the most recently regulated entities in financial services and are under growing regulatory oversight. This is an opportunity for experienced compliance professionals to join a Compliance Department at the forefront of understanding and responding strategically to new and evolving regulatory requirements globally.
S&P Global states that the anticipated base salary range for this position is $68,300 to $105,000 plus performance-based incentives. Base salary ranges may vary by geographic location.
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: EEO.Compliance@spglobal.com and your request will be forwarded to the appropriate person.