Division Compliance Officer

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Job description

Job Title : Division Compliance Officer Grade: 14 (relevant to internal) Location: NYC, Colorado, Virginia or London
S&P Global (SPGI) seeks an experienced Compliance Officer to join the Global Compliance Team. This role is expected to lead Compliance efforts for the S&P Global Market Intelligence and Platts Divisions. However, as publicly announced in November 2020, S&P Global (NYSE: SPGI) and IHS Markit (NYSE: INFO) have entered into a merger agreement to combine. Subject to the closing of that transaction, this Compliance Officer will lead Compliance efforts for the S&P Global Market Intelligence, Transportation and CMS Divisions.
The Compliance Officer will play a leading role in ensuring the Compliance Programs for the Divisions that they cover are fit-for-purpose and highly effective, including through its design, monitoring, enforcement and reporting.
Besides deep technical knowledge and expertise in development and operation of Compliance programs, the ideal candidate will have the ability to build strong relationships, within Divisions and across the Compliance function (at Corporate and Divisional levels), will be a team player with excellent leadership skills, communication skills (written/verbal), administrative/organizational skills, and the ability to maintain a realistic balance among multiple priorities.
This role will report directly to the Chief Risk & Compliance Officer, SPGI. Key Responsibilities:

• Partner with leadership of the Division to mature and implement the Division's Compliance policies and procedures to promote a culture of compliance and adherence to laws and regulations
• Manage and develop team members for personal and professional growth and effectiveness
• Support the Division's compliance with applicable laws and regulation, including preparing and filing any required regulatory disclosures and reports.
• Partner with the Division's business and Enterprise Compliance team to develop monitoring of adherence to key policies, and to disseminate Compliance Training Programs and ongoing communications that help drive the Company's and Division's culture of compliance.
• Prepare and disseminate Compliance related reporting to key stakeholders in partnership with Enterprise Compliance and Global Risk Assurance Operations
• Support the Company's Legal, People and Compliance Teams in conducting internal investigations and reviews, as required.
• Ensure full transparency and insight is created regarding the Division's culture of Compliance for key stakeholders, through regular updates and reporting (committees, management, and boards)

Other Responsibilities:

• Actively participate in relevant Divisional and other Committees, as appropriate.
• Partner with other functional areas (e.g., People team, Corporate Risk Management, Internal Audit, Legal, Information Security), to create and implement testing and reporting processes to ensure compliance with applicable laws, regulations and internal policies and procedures.
• Take a leading role in management of the Division's external assurance reviews and audits.
• Remain educated and up to date on developments in the Compliance field and work closely with the business on appropriate actions, including determination of potential impacts to the business.
• Lead the business and actively participate in Compliance-related decisions and implementation, including mergers & acquisitions and other Division programs/initiatives. You will become involved in various integration activities.
• Direct post-merger activities related to Compliance in the division, and measure progress in alignment with the guidance of the Integration Management Office.
• Provide support to other Divisions and the Enterprise Compliance team as necessary.

Impact:

• Directly impact the direction, strategy and culture for Compliance in the Division and play a key role in the execution of strategies developed in partnership with the Chief Risk & Compliance Officer and the Divisional leaders.

Interaction:

• Report on key findings and escalate significant matters to the Chief Risk & Compliance Officer
• Partner with business leaders to provide fit-for-purpose compliance support and advice to the Division.
• Collaborate and work seamlessly with S&P Global's Compliance Centers of Excellence to engage in specialized Compliance work (e.g., Conflicts Controls including Securities Disclosure; Global Financial Crimes Compliance including Sanctions; Information Security; M&A due diligence).
• Collaborate with Compliance in other Divisions and with other Global Risk Assurance functions (Risk Management and Information Security) as well as Internal Audit to share best practices and ensure valuable information sharing
• Escalate significant matters to management, including the Chief Risk & Compliance Officer, as appropriate.

Qualifications:

• Education: Bachelor's Degree or equivalent; law degree preferred.
• 10+ years of experience in Compliance roles in regulated and non-regulated businesses in a global environment; with knowledge of requirements for compliance issues facing a complex global business.
• Experience in interacting with regulators and assisting with responses to regulatory inquiries.
• Unwavering ethics and integrity, and an ability to stand firm on issues with independence and probity
• A team player with strong interpersonal, people management and leadership skills, demonstrating confidence, practicality, and resilience
• Strong analytical skills and ability to articulate guidance clearly and concisely.
• Ability to work effectively within the organization's complex decision-making and matrixed organizational structure including to drive consensus across business groups
• Ability to maintain a global perspective and work with diverse colleagues across various jurisdictions.
• Experience with M&A activities
• Experience with post-merger M&A activities including integration of functions, processes, and workforces

Compensation/Benefits Information: S&P Global states that the anticipated base salary range for this position is $133,700 to 277,700. Base salary ranges may vary by geographic location.
This role is eligible to receive S&P Global benefits. For more information on the benefits we provide to our employees, visit . US Only
At S&P Global, we don't give you intelligence-we give you essential intelligence. The essential intelligence you need to make decisions with conviction. We're the world's foremost provider of credit ratings, benchmarks and analytics in the global capital and commodity markets. Our divisions include S&P Global Ratings, S&P Global Market Intelligence, S&P Dow Jones Indices and S&P Global Platts. For more information, visit S&P Global is an equal opportunity employer committed to making all employment decisions without regard to race/ethnicity, sex, 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. 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: and your request will be forwarded to the appropriate person.

The EEO is the Law Poster describes discrimination protections under federal law.

102 - Senior Management (EEO Job Group) (inactive), 10 - Officials or Managers (EEO-2 Job Categories-United States of America), RSKMGT102 - Senior Management (EEO Job Group)

Job ID: 264771
Posted On: 2021-11-02
Location: New York, New York, United States