About the Role:

Grade Level (for internal use):

Compliance & Control, Senior Analyst - Ratings

The Role

The Senior Analyst role is based in New York and will be responsible for supporting the regulatory Compliance Program for the North American Structured Finance and Financial Services practice areas assisting the practices on advisory matters relating to Credit Rating Agency regulations. For individuals with a strategic mindset and a passion for regulatory compliance, this presents an exciting opportunity to contribute significantly. By joining this team, you have the chance to shape the success and integrity of S&P Global Ratings, making a meaningful impact in a role that is both challenging and rewarding.

Key Roles & Responsibilities

Provide credible, reliable and responsive advisory services on Firm policies and procedures.

• Supporting Compliance colleagues in the execution of a compliance communication program for the organization that promotes (a) heightened awareness of the Compliance goals, and (b) understanding of new & existing compliance initiatives and related policies & procedures.
• Assists in the development of compliance training and in ongoing communications that promote heightened awareness of compliance policies and procedures, and the understanding of compliance issues.
• Oversee the Compliance database of internal review and complaint metrics, including categorizing records and identifying trends that are used in training, management and board decks.
• Work closely with the Compliance Control Room in the monitoring and resolution of surveillance escalations.
• Investigate potential employee violations of policies and administer discipline as appropriate. As part of the review, determine the severity of the breach, assist in any necessary remediation actions and escalate to the appropriate stakeholders.
• Work with the business to coordinate the process recording and resolution of both internal and external complaints.
• Support the establishment and/or enhancement of policies and procedures as well as their implementation.
• Liaise with internal control groups, regulatory agencies and other external entities on compliance related matters.

Compensation/Benefits Information: (This section is only applicable to US candidates)

S&P Global states that the anticipated base salary range for this position is $100,909.00 to $132,600.00. Final base salary for this role will be based on the individual’s geographic location, as well as experience level, skill set, training, licenses and certifications.

Required Education, Skills and Experience:

• A minimum of 3-5 years of directly related comparable compliance experience.
• A bachelor's degree is required.
• 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.
• Ability to exercise sound judgement under pressure.
• 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.
• Proficiency in Microsoft Office applications

About S&P Global Ratings
At S&P Global Ratings, our analyst-driven credit ratings, research, and sustainable finance opinions provide critical insights that are essential to translating complexity into clarity so market participants can uncover opportunities and make decisions with conviction. By bringing transparency to the market through high-quality independent opinions on creditworthiness, we enable growth across a wide variety of organizations, including businesses, governments, and institutions.

S&P Global Ratings is a division of S&P Global (NYSE: SPGI).  S&P Global is the world’s foremost provider of credit ratings, benchmarks, analytics and workflow solutions in the global capital, commodity and automotive markets. With every one of our offerings, we help many of the world’s leading organizations navigate the economic landscape so they can plan for tomorrow, today.

For more information, visit www.spglobal.com/ratings