S&P Global is looking for a Compliance Officer.
Reporting to the EMEA CCO you will:
- Manage SPGRE’s relationship with Regulatory authorities within RMEA and build an effective and open relationship with regulatory authorities.
- With support from the Regulatory Supervision Director, EMEA, determine strategy to manage regulators’ requests, on-site inspections and other ad-hoc inquiries and interactions within RMEA, including but not limited to the following:
- Set meeting agendas, determine interview scope, attendees and scheduling
- Negotiate and assist with the interpretation of the scope of supervisors’ requests and other inquiries.
- Assign responsibilities and direct senior executive and managers in the business, compliance, legal, regulatory affairs and operational units.
- Prepare personnel for meetings and interviews and conduct preparatory sessions.
- Direct and advise relevant units in identifying and producing responsive documents, ensure quality of documents, and manage production to ensure deadlines are met on behalf of the firm.
- Liaise with Head of Legal to maintain legal privilege and confidentiality as well as to obtain additional guidance where required.
- Support regulatory driven projects and implementations.
- Compliance Program On-Going Development and implementation.
You will:
- Manage the Regional Covering Compliance Team in RMEA to ensure proper implementing and monitoring the Compliance Program in the sub-region.
- Maintain an effective Compliance Program in the RMEA sub-region that:
- Identifies regulatory requirements and attendant Compliance risks.
- Assesses and measures the magnitude of regulatory and reputational risks.
- Establishes routines and methods to evaluate and respond to exceptions including recommending investigative procedures, as appropriate.
- Ensures consistency in control methodologies and in interpretation of results.
- Direct the on-going enhancement of a state-of the art compliance-training program for existing staff in the region.
- Direct, prioritize & coordinate compliance activities in the RMEA sub-region, remain abreast of the status of all compliance activities and identify trends.
- Identify potential areas of compliance vulnerability and risk; implement corrective action and provide general guidance on how to avoid or deal with similar situations in the future.
- Consult and collaborate with other functions (e.g., Control Room, Legal and Regulatory, Risk Management, People Team, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution.
- Liaise with local management, staff and compliance management in the determination, follow-up and escalation of issues arising from monitoring activities
- Work in tandem with the Covering Compliance Managers for UK, EU27 and India.
- Reporting Responsibilities
- Ensure proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required.
- Manage the conduct, reporting and follow-up of any compliance-related internal reviews (or the compliance-related aspects of any wider internal reviews or investigations as required).
- Provide reports on a regular basis, and as directed or requested, to keep CCO EMEA & India and regional senior management informed of the operation and progress of compliance efforts, including preparation of materials for Global Risk and Compliance Committee (GRCC) and Board Meetings as requested.
- Liaise with the Regulatory Lead, EMEA by providing updates on RMEA Covering Compliance Team activities and take direction on matters which have regulatory impacts.
- Other Activities
- Be an ambassador representing S&P Compliance to regulators, government institutions and industry associations.
- Represent S&P at public events, in relevant industry initiatives and on industry committees.
- Prepare, review or direct the preparation of regulatory filings.
- Facilitate regulatory examinations and inquiries and conduct preparatory efforts (including the collation of required in formation and briefing of senior management and other examinees). Direct the implementation of any post-examination recommendations and report to senior management thereon.
- The Impact: The role involves a broad range of activities, including providing a Compliance advisory service, implementing an education program, reporting to regional senior management on compliance developments, and participating in investigations and compliance monitoring activities.
- The Team / The Business: A small, high profile team, part of an international business in an evolving regulatory landscape.
Skills and Experience:
- 7 years plus experience applying financial markets regulation within investment banking, financial services industry, credit rating agency, legal advisory, regulatory consultancy or with a regulator.
- Strong interpersonal and team skills.
- Strong oral and written communication skills.
- Highly analytical, solutions-oriented and detail oriented.
- Excellent presentation skills and ability to provide compliance training to all levels.
- Self-motivated and well organized; able to prioritize tasks and work well under pressure; able to stay abreast of changing regulatory rules and procedures in a developing industry.
- Self-confident and unfazed by seniority or difficult situations.