Associate / Associate Director: Global Regulatory Reporting Group - Compliance and Control

  • Competitive
  • New York, NY, USA New York NY US
  • Permanent, Full time
  • S&P Global
  • 22 May 18 2018-05-22

Associate / Associate Director: Global Regulatory Reporting Group - Compliance and Control

JobDescription :
The Role: As Associate Director within the Global Regulatory Reporting Group (Compliance and Internal Control) you will be responsible for the design, execution, control/monitoring of regulatory reporting initiatives. This includes leading initiatives and projects associated to the compliance with global regulatory requirements for disclosure and information. You will work closely with members of the Compliance and Internal Control, Legal and Regulatory Affairs, Data and Operations, IT and other Business stakeholders to understand and deliver to existing, changing and new regulatory requirements. You will also advice the aforementioned teams on the impact of regulatory requirements on the Business, especially as it relates to regulatory reporting. You will also be responsible to supporting regulatory requests for ratings and ratings-related information and assessing and enhancing controls associated with regulatory reporting and disclosure processes.

The Impact: By successfully executing the assigned initiatives you will ensure the organization is meeting its regulatory reporting obligations while at the same time exercising prudent risk management. The reporting will inform executive management of the ongoing compliance and provide visibility into the risks and their associated mitigation plans.

The Career Opportunity: An opportunity to work as a member of the talented Global Regulatory Reporting Group within the Compliance and Control team at S&P Global Ratings. This would allow you to leverage your existing expertise and obtain new regulatory insights and skills as you manage key initiatives for S&P Global Ratings. This position will provide exposure to all the groups within the Ratings organization, affording a unique opportunity to learn and expand your career horizons.

The Team / The Business: The position is part of the Global Regulatory Reporting Group which manages the delivery of all regulatory reporting requirements for over 20 regulators worldwide and is part of the Compliance and Internal control organization.

Your Skills:
Demonstrated ability to:

  • Understand complex regulatory requirements and be able to analyze and solve complex compliance issues
  • Solve problems in a fast paced environment, recognize and arrive at mitigation strategies for project risks
  • Advice less seasoned compliance professionals on how to handle sensitive topics and negotiations
  • Be able to judge between the commercial needs of the business and the constraints of regulations and make recommendations accordingly
  • Manage multiple projects/initiatives simultaneously
  • Negotiate and build consensus with partners/support organizations
  • Collaborate with other teams such as Legal & Regulatory Affairs as well as with local/regional Compliance team representatives and regulators.
  • Perform data mining through use of software/tools in order to inform the Business stakeholders and assist with decision making overall in order to respond to business requests for information.
  • Tailor presentations/communications to varied audiences (i.e. working group vs. executive management)
    • Excellent interpersonal, communication, organizational, leadership, and time management skills
    • Creative, results driven, self-motivated, and solutions oriented to execute projects
    • Attentive to detail and quality oriented; ability to execute in a timely and accurate manner

Our Hiring Manager says: I'm looking for a results-oriented individual who is interested in helping solve complex compliance issues through effective collaboration with colleagues within Compliance and also across the organization. If you like solving problems, analyzing information, working in a fast-paced team environment, and having the space to be apply your technical skills and creativity then this role is a great fit for you. The initiatives you will be working on are of high importance and visibility and this will provide you with an exposure to almost all facets of the organization.

  • Ensures that the business meets its regulatory requirements associated to reporting and disclosures.
  • Lead initiatives and projects that involve the compliance with global regulatory requirements for disclosure and information.
  • Design, implement, and monitor compliance program for key regulatory reporting initiatives
  • Work closely with members of the Compliance and Internal Control and Legal teams and other stakeholders to understand and deliver to existing, changing and new regulatory requirements
  • Advise management on impact of emerging regulations on the Business with focus on regulatory reporting.
  • Communicate status of regulatory reporting initiatives and projects to management team
  • Perform assessment of controls and root cause analysis to identify areas for enhancements
  • Support monitoring activities related to regulatory reporting and disclosures processes.
  • Create, implement and monitor compliance standards and practices to ensure the business is operating under a proper set of internal controls.
  • Ensure procedural documentation associated with areas owned is up to date.
  • Respond to regulatory-related inquiries for ratings and ratings-related information from stakeholders across the organization.

  • Bachelor's Degree required (Master's Degree or MBA preferred).
  • 5+ years of professional experience working with compliance and/or matrixed financial or professional services team.
  • 4 years prior experience working with compliance monitoring systems, tracking compliance-related and/or data quality issues and issuing reports preferred
  • Experience working and dealing with regulatory groups is required.
  • Experience with management of financial data (data operations, data assurance)
  • Must be proficient in Excel, SQL, and PowerPoint with working knowledge of SharePoint.
  • Applies robust knowledge of risk assessment principles and theories developed through education or past experience to best complete assignments and improve processes.
  • Experience addressing regulatory and compliance requirements.

Desirable Skills:
  • Working knowledge Risk Management including Internal Controls
  • Experience with the development of policies and procedures
  • Experience with project management

About S&P Global Ratings

S&P Global Ratings is the world's leading provider of independent credit ratings. Our ratings are essential to driving growth, providing transparency and helping educate market participants so they can make decisions with confidence. We have more than 1 million credit ratings outstanding on government, corporate, financial sector and structured finance entities and securities. We offer an independent view of the market built on a unique combination of broad perspective and local insight. We provide our opinions and research about relative credit risk; market participants gain independent information to help support the growth of transparent, liquid debt markets worldwide.

S&P Global Ratings 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

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