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Compliance Officer, Data

2 months ago

New York, New York, United States S&P Global Full time

About the Role:

Grade Level (for internal use):

12

The Team:

Working with Compliance Officers and the Risk & Internal Controls team globally, the Data & Technology Covering Compliance Officer will be a direct liaison and a point of escalation contact for S&P Global Ratings data and technology activities from a Compliance, Risk & Internal Controls perspective. The role will also represent the Compliance & Risk function in data and technology governance forums and initiatives and assist the Data & Technology Organization in navigating technical Compliance issues. Ultimately, this role will assist the Global Risk & Compliance Department in the design and implementation of the strategic global Compliance Plan as far as it relates to or impacts data and technology.

The Impact:

The successful candidate will have a pivotal role in keeping Risk & Compliance management informed of significant data & technology matters & initiatives. The role will also represent the S&P Global Ratings Compliance department in cross divisional data & technology initiatives and have a critical input into the risk assessment process and Compliance initiatives for data & technology. The position requires frequent interaction with senior stakeholders in S&P Global Ratings (including Data, Technology, Operations, Legal & In-Business Controls) as well as interactions with external stakeholders as needed (eg, Regulators, Outside Counsel).

Responsibilities:

  • Provide advice on business-as-usual (BAU) compliance and regulatory matters related to Data & Technology.
  • Partner, in collaboration with Covering Manager, with the Data & Technology Organization to be the escalation point for Risk & Compliance.
  • Advise on a regular/ad hoc basis incidents or issues in a timely, clear, and articulate manner, including advising on IT and Data related internal controls. Participate in discussions of data and technology issues as part of the Internal Controls Issue Review process.
  • Escalate to Covering Manager Data & Technology initiatives and emerging potential risks.
  • Assist the Data & Technology Organization and global Risk & Compliance colleagues in data & technology related regulatory interactions as required, review new initiatives, and participate in relevant governance committees/forums, including IEM process as needed.
  • Assist with the establishment and/or enhancement/changes to data & technology policies and procedures, while ensuring that changes are 'right-sized' and 'fit for purpose'
  • If requested by Compliance management, aid in the collation or review of material related to information requests from regulators with respect to the Data & Technology Organization.
  • Partner with the Compliance Monitoring team pertaining to Data & Technology employees' adherence to S&P Global Ratings' Policies.
  • Undertake Compliance investigations and reviews as required.
  • Assist in the development of compliance training and ongoing communications that promote heightened awareness of codes of conduct, policies and procedures, and the understanding of compliance issues, particularly with respect to employees in the Data & Technology Organization.
  • Work with other Compliance Officers in analyzing data to make observations and recommendations for improvement in the Compliance program.
  • In conjunction with colleagues in other jurisdictions, assess areas of compliance vulnerability and risk and make recommendations to senior Risk & Compliance management as necessary.
  • Coordinate with colleagues globally to ensure consistency in carrying out compliance responsibilities.
  • Consult with the Legal & Regulatory Affairs Department, as needed, to resolve complex regulatory and compliance issues.
  • The role may also encompass providing Compliance assistance or coverage of other practice areas within the Covering Compliance team, including helping with investigations and other ad hoc matters as required.

What We're Looking For:

  • An S&P Global employee at this level would typically have a minimum of 8-10 plus years of experience in a compliance, control or data & technology governance or other relevant experience in a highly regulated industry.
  • Bachelor's degree.
  • Knowledge of data and technology governance and processes.
  • Demonstrated problem-solving skills and strong team player.
  • Excellent communication skills (both verbal and written) and presentation skills.
  • Ability to drive consensus across business groups.
  • Navigate challenging situations at all levels of the business in a resilient, confident and practical manner.
  • Well-organized with the ability to drive large scale projects and initiatives.
  • Ability to maintain a global perspective and work with colleagues across various jurisdictions.
  • Ability to exercise sound judgement under pressure.
  • Completing demands on time from a diverse set of internal client group. The ability to demonstrate a high degree of flexibility and excellent time-management skills.
  • The ability to develop credibility with business and compliance stakeholders.
  • Comfortable working in an environment of regulatory and operational change.

Compensation/Benefits Information: (This section is only applicable to US candidates)

S&P Global states that the anticipated base salary range for this position is $88,400.00 to $206, Final base salary for this role will be based on the individual's geographic location, as well as experience level, skill set, training, licenses, and certifications. In addition to base compensation, this role is eligible for an annual incentive plan. This role is eligible to receive additional S&P Global benefits. For more information on the benefits, we provide to our employees, please click here. )

Right to Work Requirements:

This role is limited to persons with indefinite right to work in the United States.

About S&P Global Ratings

At S&P Global Ratings, our analyst-driven credit ratings, research, and sustainable finance opinions provide critical insights that are essential to translating complexity into clarity so market participants can uncover opportunities and make decisions with conviction. By bringing transparency to the market through high-quality independent opinions on creditworthiness, we enable growth across a wide variety of organizations, including businesses, governments, and institutions.

S&P Global Ratings is a division of S&P Global (NYSE: SPGI). S&P Global is the world's foremost provider of credit ratings, benchmarks, analytics and workflow solutions in the global capital, commodity and automotive markets. With every one of our offerings, we help many of the world's leading organizations navigate the economic landscape so they can plan for tomorrow, today.

For more information, visit

What's In It For You?

Our Purpose:

Progress is not a self-starter. It requires a catalyst to be set in motion. Information, imagination, people, technology-the right combination can unlock possibility and change the world.

Our world is in transition and getting more complex by the day. We push past expected observations and seek out new levels of understanding so that we can help companies, governments and individuals make an impact on tomorrow. At S&P Global we transform data into Essential Intelligence, pinpointing risks and opening possibilities. We Accelerate Progress.

Our People:

We're more than 35,000 strong worldwide-so we're able to understand nuances while having a broad perspective. Our team is driven by curiosity and a shared belief that Essential Intelligence can help build a more prosperous future for us all.

From finding new ways to measure sustainability to analyzing energy transition across the supply chain to building workflow solutions that make it easy to tap into insight and apply it. We are changing the way people see things and empowering them to make an impact on the world we live in. We're committed to a more equitable future and to helping our customers find new, sustainable ways of doing business. We're constantly seeking new solutions that have progress in mind. Join us and help create the critical insights that truly make a difference.

Our Values:

Integrity, Discovery, Partnership

At S&P Global, we focus on Powering Global Markets. Throughout our history, the world's leading organizations have relied on us for the Essential Intelligence they need to make confident decisions about the road ahead. We start with a foundation of integrity in all we do, bring a spirit of discovery to our work, and collaborate in close partnership with each other and our customers to achieve shared goals.

Benefits:

We take care of you, so you can take care of business. We care about our people. That's why we provide everything you-and your career-need to thrive at S&P Global.

Our benefits include
  • Health & Wellness: Health care coverage designed for the mind and body.
  • Flexible Downtime: Generous time off helps keep you energized for your time on.
  • Continuous Learning: Access a wealth of resources to grow your career and learn valuable new skills.
  • Invest in Your Future: Secure your financial future through competitive pay, retirement planning, a continuing education program with a company-matched student loan contribution, and financial wellness programs.
  • Family Friendly Perks: It's not just about you. S&P Global has perks for your partners and little ones, too, with some best-in class benefits for families.
  • Beyond the Basics: From retail discounts to referral incentive awards-small perks can make a big difference.

For more information on benefits by country visit:

Diversity, Equity, and Inclusion at S&P Global:

At S&P Global, we believe diversity fuels creative insights, equity unlocks opportunity, and inclusion drives growth and innovation - Powering Global Markets. Our commitment centers on our global workforce, ensuring that our people are empowered to bring their whole selves to work. It doesn't stop there, we strive to better reflect and serve the communities in which we live and work, and advocate for greater opportunity for all.

S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to the Policy's requirements, candidates at S&P Global may be asked to disclose securities holdings. Some roles may include a trading prohibition and remediation of positions when there is an effective or potential conflict of interest. Employment at S&P Global is contingent upon compliance with the Policy.

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Equal Opportunity Employer

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: (see below) and your request will be forwarded to the appropriate person.

US Candidates Only: The EEO is the Law Poster describes discrimination protections under federal law.

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202 - Middle Professional (EEO Job Group) (inactive), 20 - Professional (EEO-2 Job Categories-United States of America), RSKMGT Middle Professional Tier II (EEO Job Group)

Job ID: 288507

Posted On:

Location: New York, New York, United States