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Company Name : S&P Global
Location : Centennial, CO 80112
Position : Regional Compliance Director, S&P Dow Jones Indices
Job Description : Location : New York, Princeton, Colorado or Houston
Grade : 12 (relevant for internal applicants only)
Role: S&P Global seeks a Compliance Director to join the Compliance Team for the S&P Dow Jones Indices (SPDJI) division. The Compliance Director will be based in the US and will play a key role in a global compliance team whose mandate is to deliver a Compliance Program for the Division that is fit-for-purpose and highly effective.
The role involves a range of activities, including providing: (i) Compliance advisory services, (ii) education & training, (iii) reporting to compliance management on compliance developments, and (iv) participating in reviews, investigations and other compliance monitoring / ad hoc activities, primarily focused on the Americas.
Besides technical knowledge and experience in the operation of Compliance programs, the ideal candidate should build strong relationships, within the Division and across the Compliance, Risk Management and other key control functions, should be collaborative and a team player, should have excellent communication skills and the ability to maintain a realistic balance among multiple priorities.
This role will report directly to the Head of Compliance, S&P DJI
Responsibilities:
You will support the operation of the Compliance Program in the Division and in particular:
Partner with the Division to implement the Division’s Compliance policies and procedures to promote a culture of compliance and adherence to laws and regulations
Provide support and oversight on Division’s IOSCO assurance program
Provide advisory services to staff and management on significant compliance matters/issues and participate on relevant committees
Partner with the Division’s business, Compliance and Enterprise Compliance personnel to develop monitoring of adherence to key policies, and to disseminate Compliance Training Programs and ongoing communications that help drive the Company’s and the Division’s culture of compliance
Participate in, and as appropriate, manage Compliance investigations and reviews
Provide advice on compliance implications of new business proposals and operational changes within the areas of your responsibility
Assist the wider Compliance effort by covering and advising on compliance matters in other practices/areas/offices
Coordinate with colleagues globally to ensure consistency in carrying out compliance responsibilities
Inform and escalate significant matters to the Head of Compliance for the Division
Other Responsibilities:
Remain educated and up to date on developments in the regulatory and Compliance fields
Actively participate in relevant Divisional and other Committees, as appropriate.
Provide support to other Divisions and the Enterprise Compliance team as necessary
Impact:
Directly impact the implementation and direction of strategy and culture for Compliance in the Division, developed in partnership with the Head of Compliance for the Division and the Divisional leaders.
Interaction:You will:
Partner with business leaders to provide fit-for-purpose compliance support and advice to the Division
Collaborate with Compliance in the Division and in other divisions to share best practices and ensure valuable information sharing
Collaborate and work seamlessly with S&P Global’s Compliance Centers of Excellence to engage in specialized Compliance work (e.g., Conflicts of Interest including Securities Disclosure; Global Financial Crimes Compliance including Sanctions) and with S&P Global’s Risk Management leaders.
Partner with other functional areas (e.g., Legal team, People team, Corporate Risk Management, Internal Audit, Information Security), to create and implement testing and reporting processes to ensure compliance with applicable laws, regulations and internal policies and procedures
Escalate significant matters to the Global Compliance Officer, as appropriate.
Business & Functional Knowledge and Qualifications:
Proven and directly related Compliance experience
A bachelor’s degree is required
Unwavering ethics and integrity, and an ability to stand firm on issues with independence
Strong interpersonal and team skills, with a collaborative and learning mindset
Highly analytical, solutions-oriented and detail oriented
Ability to articulate guidance clearly and concisely
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
Ability to maintain a global perspective and work with diverse colleagues across various jurisdictions.
Proficiency in Excel, Word and Power Point
Compensation/Benefits Information (US Applicants Only):
S&P Global states that the anticipated base salary range for this position is $100,800 to $230,200. Base salary ranges may vary by geographic location. 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, visit https://www.spgbenefitessentials.com/newhires
S&P Dow Jones Indices
At S&P Dow Jones Indices, our role can be described in one word: essential. We’re the largest global resource for index-based concepts, data and research, and home to iconic financial market indicators, such as the S&P 500® and the Dow Jones Industrial Average®. More assets are invested in products based upon our indices than any other index provider in the world; with over 1,000,000 indices, S&P Dow Jones Indices defines the way people measure and trade the markets. We provide essential intelligence that helps investors identify and capitalize on global opportunities.
S&P Dow Jones Indices is a division of S&P Global (NYSE: SPGI), which provides essential intelligence for individuals, companies and governments to make decisions with confidence. For more information, visit www.spdji.com
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: EEO.Compliance@spglobal.com and your request will be forwarded to the appropriate person.
US Candidates Only:
The EEO is the Law Poster http://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf 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: 270574
Posted On: 2022-02-14
Location: New York, New York, United States
This post is listed Under Colorado jobs
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