Analyst, Compliance & Control

S&P Global; New York (NY); On-site; USD 83,000 - 104,000; Full time

Job summary

An established industry player is looking for a dedicated team member to enhance its Regulatory Supervision Team. This role involves supporting the implementation of regulatory action plans and ensuring compliance with regulatory expectations across the Americas and EMEA. You will collaborate with various stakeholders, manage regulatory requests, and represent the firm in interactions with regulators. Join a dynamic environment where your contributions will help shape the regulatory landscape and drive compliance initiatives. If you are analytical, detail-oriented, and possess strong communication skills, this opportunity is perfect for you.

Benefits

Health care coverage

Generous time off

Continuous learning resources

Retirement planning

Financial wellness programs

Family friendly perks

Retail discounts

Referral incentive awards

Qualifications

• 1+ year of experience in financial services or regulatory consultancy.
• Strong interpersonal and communication skills are essential.

Responsibilities

• Support the implementation of regulatory action plans across the Americas.
• Manage regulatory requests and ensure compliance with supervisors.

Skills

Analytical Skills

Interpersonal Skills

Communication Skills

Detail-oriented

Solutions-oriented

Education

Experience in financial services or regulatory environment

Tools

Excel

Word

PowerPoint

Job description

About the Role:

Grade Level (for internal use):

10

About the Role/The Team:

We are seeking an additional team member to support the implementation of regulatory action plans in the Americas, ensuring compliance with regulatory expectations and promoting a global and consistent approach to managing regulatory interactions.

You will be part of the existing Regulatory Supervision Team, responsible for supporting supervisory activities and the implementation of regulatory action plans in the Americas. These supervisory activities comprise mainly of regulatory examinations, regular supervisory meetings and ad hoc requests/ enquiries. The role will also provide input into the implementation of regulatory action plans to ensure that regulatory expectations are met. The principal regulatory supervisors in the region are the United States (SEC), Canada (OSC). Support will also be provided to Covering Compliance working with additional domestic regulators in EMEA and LATAM.

Responsibilities and Impact:

You will play an important role within the Global Compliance Function, supporting the Global Head of Regulatory Supervision and the existing team to manage supervisory activities directed to S&P Global Ratings.

Responsibilities:

• Establish constructive and collaborative working relationships with the global Chief Compliance Officers and support the Regulatory Supervision team’s objective of implementing a global and consistent approach to regulatory interactions.
• Support management of regulatory requests, on-site inspections and other inquiries within the Americas and EMEA. Partner with all areas of the Compliance and the legal department to ensure compliance with all aspects of supervisors’ requests globally.
• Direct, advise and guide relevant units in identifying and producing responsive documents, ensure quality of documents, and manage production to ensure deadlines are met on behalf of the firm.
• Review all documents to identify, and report to senior executives, on issues and risks.
• Prepare internal stakeholders in advance of regulatory interactions.
• Develop and maintain tools to manage and report ongoing activities, emerging themes and key risks.

Implement the regulatory exam management strategy:

• Implement the regulatory exam management strategy across the Americas and EMEA and maintain close coordination with colleagues in APAC.
• Ensure appropriate prep sessions, working alongside Risk & Compliance team members, legal, IBCO, and other support functions.
• Coordinate activities with internal stakeholders to retrieve relevant information from S&P’s ratings systems.
• Support management action plans, balancing regulatory expectations and practicality for the organization.
• Collaborate with in-house and external counsel on complex regulatory matters.

Reporting and Stakeholder Management:

• Manage internal tracking of team activities.
• Support reporting of regulatory activities in the Americas and EMEA.
• Keep the DCO, EMEA, UK, and LATAM CCOs, and Senior Management informed of the operation and progress of team efforts.

Additional Activities:

• Be an ambassador representing S&P Global Ratings to local regulators, government institutions and industry associations.
• Represent S&P at public events, in relevant industry initiatives and on industry committees.

Qualifications/Experience:

• An S&P Global employee typically has a year or more of applicable experience in financial services, investment banking, credit rating agency, regulatory consultancy, with a regulator, or another regulated environment.
• Understanding and previous experience with management of regulatory requests or interactions is preferred.
• Strong interpersonal and team skills.
• Excellent interpersonal skills including, strong oral and written communication skills.
• Must be highly analytical, solutions-oriented, and detail-oriented.
• Proficiency in Excel, Word, and PowerPoint.
• Must be organized and able to track progress against competing projects and deadlines.

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 $83,313 to $103,258. 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.

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.

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 People:

We're more than 35,000 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.

Our Values:
Integrity, Discovery, Partnership.

Benefits:

• 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.

Inclusive Hiring and Opportunity at S&P Global:

At S&P Global, we are committed to fostering an inclusive workplace where all individuals have access to opportunities based on their skills, experience, and contributions.

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.