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Compliance Director

2 months ago

New York, New York, United States S&P Global Full time
About the Role:

S&P Global is seeking a seasoned Compliance Director to join our Compliance Team for the S&P Global Dow Jones Indices (SPDJI) division. As a key member of our global compliance team, you will play a pivotal role in ensuring that our Compliance Program for the indices division is effective and aligned with best practices.

Responsibilities:
  • Collaborate with divisional functions to implement relevant compliance policies and procedures, fostering a culture of adherence to laws and regulations.
  • Provide oversight for the Division's IOSCO assurance program.
  • Offer advisory services on compliance matters and actively participate in relevant committees.
  • Develop monitoring processes to ensure adherence to key policies and facilitate compliance training programs.
  • Contribute to compliance investigations and reviews.
  • Define and execute compliance monitoring activities.
  • Actively engage in relevant divisional and other committees.
  • Provide support to other divisions and the Enterprise Compliance team as needed.
  • Prepare metrics and presentation materials.
Impact:

Your work will directly influence the implementation and direction of our compliance strategy and culture within the division. You will collaborate closely with the Head of Compliance, divisional leaders, and the Corporate Compliance and Risk teams.

Interaction:

Partner with business leaders to provide fit-for-purpose compliance support and advice. Share best practices with Compliance teams in and across divisions. Collaborate on specialized compliance work, such as Securities Disclosure and Global Financial Crimes Compliance including Sanctions.

Partner with other functional areas (Legal, People, Corporate Risk Management, Internal Audit, Information Security teams) to establish relevant testing and reporting processes.

Requirements:
  • 5+ years of proven compliance experience in the financial sector.
  • Good understanding of financial markets, ideally with experience related to indices and the IOSCO Principles for Financial Benchmarks.
  • Bachelor's degree.
  • Strong ethics, integrity, and the ability to stand firm on issues independently.
  • Excellent interpersonal and team skills, with a collaborative and learning mindset.
  • Highly analytical, solutions-oriented, and detail-oriented.
  • Self-motivated and well-organized; ability to prioritize tasks and work well under pressure; stay abreast of changing regulatory expectations.
  • Ability to maintain a global perspective and work with diverse colleagues across various jurisdictions.
  • Proficiency in Excel, Word, and PowerPoint.
What We're Looking For:

We're seeking a highly skilled and experienced Compliance Director who can bring their expertise to our team. If you're passionate about compliance and have a strong understanding of financial markets, we encourage you to apply.