COMPLIANCE OFFICER

About the Role.
Grade Level (for internal use).
12 Role.
Compliance Officer The Location.
Sao Paulo, BR Grade (relevant for internal applicants only).
12 The Compliance Officer role is based in Brazil and the successful candidate will be responsible for supporting the implementation and monitoring of the Compliance Program primarily for S&P Global Ratings in Latin America.
The role involves a range of activities, including assisting in providing a Compliance advisory service, in the education program, in reporting to regional senior management on compliance developments, and in conducting investigations, logging and tracking Complaints and compliance monitoring activities.
The Compliance Officer will be responsible for the interaction with regulators, exams and response to regulators to ad hoc requests.
The role is responsible for the AML program in Brazil supporting the commercial and analytical team to screen issuers and assigning the risk of each customer and beneficial owners.
Team.
The Compliance Team provides on-going advice across S&P Global Ratings as well as managing internal investigations, complaints, KYC assessments and response to regulatory requests.
We are a highly respected team that has close partnership with the business and senior management to help drive maximum results and an adequate and strong compliance program.
Responsibilities.
Support the On Going development and implementation of the Compliance Program Perform Internal Investigations, reviews and risk assessments, identifying weaknesses and when necessary, recommending next steps and action plans.
Identify Complaints and follow up on the remediation and response to the complainant Identify regulatory requests and implement actions to implement or remediate findings from exam, internal audit or Compliance Examinations Team.
Assist in the execution of a compliance communication program for the organization throughout your areas of coverage that promotes (a) heightened awareness of Standards of Conduct, and (b) understanding of new and existing compliance issues and related policies and procedures; Assist the wider regional effort by covering and advising on compliance matters in other North American offices.
Assist the wider regional effort by covering and advising on compliance matters in other Latam offices.
What We’re Looking For.
Basic Required Qualifications.
5-8 years of directly related / comparable compliance experience within a large financial services firm; Bachelor's degree (a legal qualification is desirable) Proficiency in Excel, Word and PowerPoint.
Requires advanced proficiency in English communication skills (reading, speaking, and writing).
Strong interpersonal and team skills; Strong verbal and written communication skills; 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; S&P Global states that the anticipated 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.
In addition to base compensation, this role is eligible for an annual incentive plan.
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.
pglobal.
om/ratings What’s In It For You? Our Purpose.
Progress is not a self-starter.
It requires a catalyst to be set in motion.
Information, imagination, people, technology–the right combination can unlock possibility and change the world.
Our world is in transition and getting more complex by the day.
We push past expected observations and seek out new levels of understanding so that we can help companies, governments and individuals make an impact on tomorrow.
At S&P Global we transform data into Essential Intelligence®, pinpointing risks and opening possibilities.
We Accelerate Progress.
Our People.
We're more than strong worldwide—so we're able to understand nuances while having a broad perspective.
Our team is driven by curiosity and a shared belief that Essential Intelligence can help build a more prosperous future for us all.
From finding new ways to measure sustainability to analyzing energy transition across the supply chain to building workflow solutions that make it easy to tap into insight and apply it.
We are changing the way people see things and empowering them to make an impact on the world we live in.
We’re committed to a more equitable future and to helping our customers find new, sustainable ways of doing business.
We’re constantly seeking new solutions that have progress in mind.
Join us and help create the critical insights that truly make a difference.
Our Values.
Integrity, Discovery, Partnership At S&P Global, we focus on Powering Global Markets.
Throughout our history, the world's leading organizations have relied on us for the Essential Intelligence they need to make confident decisions about the road ahead.
We start with a foundation of integrity in all we do, bring a spirit of discovery to our work, and collaborate in close partnership with each other and our customers to achieve shared goals.
Benefits.
We take care of you, so you can take care of business.
We care about our people.
That’s why we provide everything you—and your career—need to thrive at S&P Global.
Our benefits include.
Health & Wellness.
Health care coverage designed for the mind and body.
Flexible Downtime.
Generous time off helps keep you energized for your time on.
Continuous Learning.
Access a wealth of resources to grow your career and learn valuable new skills.
Invest in Your Future.
Secure your financial future through competitive pay, retirement planning, a continuing education program with a company-matched student loan contribution, and financial wellness programs.
Family Friendly Perks.
It’s not just about you.
S&P Global has perks for your partners and little ones, too, with some best-in class benefits for families.
Beyond the Basics.
From retail discounts to referral incentive awards—small perks can make a big difference.
For more information on benefits by country visit.
https://spgbenefits.
om/benefit-summaries Diversity, Equity, and Inclusion at S&P Global.
At S&P Global, we believe diversity fuels creative insights, equity unlocks opportunity, and inclusion drives growth and innovation – Powering Global Markets.
Our commitment centers on our global workforce, ensuring that our people are empowered to bring their whole selves to work.
It doesn’t stop there, we strive to better reflect and serve the communities in which we live and work, and advocate for greater opportunity for all.
S&P Global has a Securities Disclosure and Trading Policy (“the Policy”) that seeks to mitigate conflicts of interest by monitoring and placing restrictions on personal securities holding and trading.
The Policy is designed to promote compliance with global regulations.
In some Divisions, pursuant to the Policy’s requirements, candidates at S&P Global may be asked to disclose securities holdings.
Some roles may include a trading prohibition and remediation of positions when there is an effective or potential conflict of interest.
Employment at S&P Global is contingent upon compliance with the Policy.
----------------------------------------------------------- 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.
and your request will be forwarded to the appropriate person.
US Candidates Only.
The EEO is the Law Poster http://www.
ol.
ov/ofccp/regs/compliance/posters/pdf/eeopost.
df describes discrimination protections under federal law.
----------------------------------------------------------- 202 - Middle Professional (EEO Job Group) (inactive), 20 - Professional (EEO-2 Job Categories-United States of America), RSKMGT - Middle Professional Tier II (EEO Job Group) S&P Global delivers essential intelligence that powers decision making.
We provide the world’s leading organizations with the right data, connected technologies and expertise they need to move ahead.
As part of our team, you’ll help solve complex challenges that equip businesses, governments and individuals with the knowledge to adapt to a changing economic landscape.