Compliance Officer - Reporting and Operations

S&P Global
New York, USA
Sep 14, 2022
Sep 19, 2022
Job Function
Risk Management
Industry Sector
Finance - General
Employment Type
Full Time
Compliance Officer - Reporting and Operations

Location(s): New York, NY
Grade/Level ( relevant for internal applicants only ): 12
(This role is not open to additional locations or remote only)
The Role: Lead, Compliance & Risk

Position Description
This role is in the Ratings Compliance & Risk department and is responsible for managing and directing a wide range of global Compliance operations, with a focus on the analysis and presentation of department results for management reporting, town halls and other communications. The position is part of the team that maintains and develops S&P Global Ratings policies; creates, tracks and coordinates compliance training; oversees global compliance-and-risk-related projects and presentations; gathers and processes data on global department activities, such as complaints, reviews and disciplinary actions; and supports the senior management team of the department to prepare presentations and reports on department activities and results. This role reports to the Global Chief Matrix Officer for Ratings Compliance & Risk.

  • Lead the design and management of global reporting and communication across the Compliance & Risk department, including analysis of data, synthesis, and development of themes, and managing the process for gathering and preparing reports, scorecards, and other reports out from Compliance & Risk. Conduct analyses to generate reports for Compliance & Risk teams to set policies with respect to reporting and ensure timely responses
  • Lead the preparation of all aspects of reporting to Ratings boards and senior management, including working closely with senior management of the department on the strategy and approach to presentations, analyzing and synthesizing data and department issues for presentations and reports, working across the department on the assessment of priorities and areas of interest for the Ratings boards and Ratings management.
  • Oversee and manage internal global department communications and employee engagement activities, including town halls, monthly updates, offsite meetings, new joiner introductions and other employee engagement activities.
  • Develop expertise in department needs and outcomes; develop partnerships beyond the team to include stakeholders across Compliance & Risk department and with other departments, including Legal, People, Ratings Operations, etc.
  • Assist the Global Chief Matrix Officer and senior members of the Compliance & Risk department by managing and supporting activities across the department as needed, with limited supervision.
What the Hiring Manager Says:
"You will support the entire Compliance & Risk department. You will have exposure to and work frequently with senior executives within S&P Global Ratings and our parent company S&P Global Inc. The role requires a strong personality, great communication and presentation skills, and the ability to multi-task, including leading projects and meeting multiple short- and long-term deadlines."

Return to Work
Have you taken time out for caring responsibilities and are now looking to return to work? As part of our Return-to-Work initiative (link to career site page when available), we are encouraging enthusiastic and talented returners to apply, and will actively support your return to the workplace.

  • Bachelor's degree or advanced degree; legal training helpful but not required
  • 5+ years of relevant industry experience
  • Compliance experience and/or experience in financial services is preferred
  • Effective writing and presentation skills are key.; ability to be comfortable voicing opinions with more senior staff
  • Comfortable voicing opinions with more senior staff and working work with senior executives to document current issues, risk exposure and regulatory focus areas.
  • Excellent influencing skills, including evidencing the ability to influence others who are not in the same in the same line of authority
  • Good knowledge of statistical databases and graphical packages to assemble, manipulate and/or format data and reports
  • The ability to understand the nuances of processes and think clearly about solutions for competing priorities and to prioritize tasks and work well under pressure, project management experience helpful
  • The ability to work with sensitivity and awareness across the Compliance & Risk department and within the Ratings organization
  • Independent decision-maker, self-motivated and well-organized
Compensation/Benefits Information: (US ONLY)
S&P Global states that the anticipated base salary range for this position is $103,800, to $206,350.
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

About Company Statement:
S&P Global delivers essential intelligence that powers decision making. We provide the world's leading organizations with the right data, connected technologies and expertise they need to move ahead. As part of our team, you'll help solve complex challenges that equip businesses, governments, and individuals with the knowledge to adapt to a changing economic landscape.

S&P Global Ratings offers critical insights for credit, risk and sustainable finance solutions that are essential to translating complexity into clarity, so market participants can uncover opportunities.


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: 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.


202 - Middle Professional (EEO Job Group) (inactive), 20 - Professional (EEO-2 Job Categories-United States of America), RSKMGT202.2 - Middle Professional Tier II (EEO Job Group)

Job ID: 272118
Posted On: 2022-08-15
Location: New York, New York, United States

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