Grade Level (for internal use):
09
The Team:
The Compliance team dedicated to the S&P Global Market Intelligence division serves in an advisory capacity to the organization on the design and execution of strategy, making riskbased decisions, and evaluating opportunities while ensuring adherence to S&P Globals policies and procedures.
TheRole:
The successful candidate will be supporting the implementation and monitoring of the Compliance Program for S&P Global Market Intelligence, with a focus on enhancement of data loss protection and compliance initiatives. The role involves a range of activities, including providing: (i) compliance advisory services, (ii)monitoring, investigation and disposition of compliance alerts, (iii) asses and escalate potential violations, and (iv) collaborate and prepare reporting to compliance management on compliance developments.
Besides technical knowledge and experience in the operation of compliance programs, the ideal candidate should have the ability to conduct compliance related investigations and due diligence, build strong relationships (within the Division, across Legal & Compliance, and other key control functions), be collaborative and a team player, have excellent communication skills, and the ability to maintain a realistic balance among multiple priorities.
This role will report directly to the Director of MI Compliance.
Whatsinitforyou?
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This role provides an opportunity to make a significant and visible contribution to the divisional compliance team where the individual can develop a strong expertise around the compliance control function.
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Learning and development opportunities to learn new skillsets, broaden understanding of Compliance, and take ownership/leadership of initiatives.
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Exposure to the S&P Global Market Intelligence senior leadership team and the opportunity to gain insights on compliance matters that impact the current business landscape.
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Ability to shape the compliance program and have an impact in driving the program across the firm.
Responsibilities and Impact:
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This role requires a dynamic cross-compliance ability to investigate multiple types of investigations, including but not limited to, internal data loss prevention and internal employee investigations.
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Review daily and periodic compliance alerts, analyze internal and external activities to determine where further inquiry and escalation is required. Prioritize alert disposition and escalation, ensuring that alerts are reviewed and investigated in a timely manner and in accordance to internal policies or regulatory requirements.
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Clearly document investigative steps, findings, and rationale for decisions in an auditable manner.
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Partner with compliance and other colleagues to conduct investigations of potential violations, policy breaches and compliance laws and regulations.
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Prepare memoranda and reports of reviews conducted, conclusions and required actions.
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Assist in establishing metrics and ongoing reporting, particular to identify trends or patterns that increase organizational compliance risks.
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Provide, clear and concise business advice and guidance on compliance policies, procedures and regulatory requirements.
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Identify potential areas of compliance vulnerability and risk; identify corrective action and provide general guidance on how to address similar situations in the future.
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Work with the team to evaluate, integrate, and automate reporting and metrics to highlight key insights into compliance efforts.
What Were Looking For:
Basic Required Qualifications:
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Proven experience in compliance, regulatory affairs, internal audit, legal or operations role, or a combination of these roles within the financial services industry.
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Proven experience in alert investigations and due diligence methods, particularly in data loss prevention.
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Experience with screening tools, case management systems and data analysis techniques.
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Attention to detail, with strong writing and communication skills and the ability to write detailed reports and the alignment and storage evidence artifacts.
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Demonstrated ability to meticulously analyze complex data, identify red flags related suspicious activities, and the ability to make sound decisions.
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Knowledge of Artificial Intelligence and its application to resolving compliance-related matters.
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A bachelor's degree is required, with a preference for a degree in business, accounting, law, or a related discipline in the financial services field.
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Independent, self-starter and problem-solver capable of working without close supervision or daily guidance; diligent and attentive to details; able to prioritize tasks and work well under pressure.
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Proven public speaking and written communication abilities. Must have the ability to be clear and concise.
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Competencies to translate compliance concepts into practical applications of day-to-day operations.
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Ability to work harmoniously with teams across regions and time zones.
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Aptitude to contribute to an inspiring team culture with a sense of belonging and purpose based on a common set of values and behaviors.
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, Restart, we are encouraging enthusiastic and talented returners to apply, and will actively support your return to the workplace.
