Compliance Officer, Standard & Poor’s recruitment
Compliance Officer, Examinations
Standard Poor's Segment Operations is seeking a Compliance Officer to conduct examinations. The compliance officer will be responsible for planning and executing compliance examinations of SP operating units, globally, to assess compliance with US and international regulations and compliance policies and procedures. Minimal travel will be required, but could include international travel.
Essential Accountabilities include but are not limited to the following:
- Plan and conduct on-site compliance reviews, determining the appropriate mix of process-oriented compliance work and data testing and developing test procedures.
- Oversee review work done by other members of the examination team.
- Write compliance review reports containing findings and recommendations with a view to strengthening controls, as necessary. Review report drafts prepared by other members of the examination team.
- Conduct pre-review work with operating units so that stakeholders understand both the purpose of the review and the review methodology. Create and distribute planning memoranda in advance of on-site review work.
- Coordinate with McGraw Hill internal audit during their audits
- Coordinate with Senior Compliance Officers who advise the SP operating units
- Coordinate with members of GRA and the Legal Department
Skills
Qualifications include, but are not limited to the following:
- Compliance examinations or internal audit background within financial services or with a regulator required.
- Excellent oral and written communication skills required.
- Knowledge of SEC rules for Nationally Recognized Statistical Rating Organizations and Investment Advisers required
- Experience applying US and international financial markets regulations preferred
- Ability to travel (up to two weeks/year) preferred
- Independent thought process with the ability to mix firmness with diplomacy required.
- Candidate should have an interest in global work and be able to work effectively with individuals with diverse cultural backgrounds.
Standard Poor's, a subsidiary of The McGraw-Hill Companies (NYSE:MHP), is the world's foremost provider of independent credit ratings, indices, risk evaluation, investment research and data. With offices in 23 countries and markets, Standard Poor's is an essential part of the world's financial infrastructure and has played a leading role for nearly 150 years in providing investors with the independent benchmarks they need to feel more confident about their investment and financial decisions. For more information, visit
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