Director of Compliance, DJI

New York, New York
eFinancial Careers
Job Title: Director of Compliance/SPDJI Grade: 13 (Relevant for internal only) Location: Open and virtual locations will be considered

S&P Global seeks an experienced Director of Compliance to join the Global Compliance Team for the S&P Dow Jones Indices (SPDJI) division. The Director of Compliance for DJI will play a leading role in ensuring the Division’s Compliance Program is fit-for-purpose and highly effective, including through its design, monitoring and enforcement. Besides deep technical knowledge and expertise in development and operation of Compliance programs, the ideal candidate will have the ability to build strong relationships, within the Division and across the Compliance function (at Corporate and Divisional levels), will be a team player with excellent leadership skills, communication skills (written/verbal), administrative/organizational skills, and the ability to maintain a realistic balance among multiple priorities. This role will report directly to the Global Compliance Officer, SPGI.
Key Responsibilities:

• Partner with leadership of the Division to mature and implement the Division’s Compliance policies and procedures to promote a culture of compliance and adherence to laws and regulations
• Manage and develop team members for personal and professional growth and effectiveness
• Support the Division’s compliance with applicable laws and regulation, such as the European Benchmark Regulation, including preparing and filing required regulatory disclosures and reports.
• Partner with the Division’s business and Compliance personnel to develop monitoring of adherence to key policies, and to disseminate Compliance Training Programs and ongoing communications that help drive the Company’s and Division’s culture of compliance.
• Support the Company’s Legal, People and Compliance Teams in conducting internal investigations and reviews, as required.
• Ensure full transparency is created around Compliance issues for key stakeholders, through regular reporting (committees, management, boards, as required)

Other Responsibilities:

• Participate in relevant Divisional and other Committees as appropriate.
• Partner with other functional areas (e.g., People team, operating teams, Corporate Risk Management, Internal Audit, Legal, Information Security), to create and implement testing and reporting processes to ensure compliance with applicable laws, regulations and internal policies and procedures.
• Take a leading role in management of the Division’s external assurance reviews and audits.
• Remain educated on developments in the Compliance field with potential impacts to the business.

Impact:

• Directly impacts the direction and strategy for Compliance in the Division and plays a key role in the execution of strategies developed in partnership with the Global Compliance Officer and the Divisional leaders

Interaction:

• Partner with business leaders to provide fit-for-purpose compliance support to the Division.
• Collaborate and work seamlessly with S&P Global’s Compliance Centers of Excellence to engage in specialized Compliance work (e.g., Conflicts of Interest including Securities Disclosure; Global Financial Crimes Compliance including Sanctions; Information Security; M&A due diligence).
• Collaborate with Compliance in other divisions and with other Risk Management functions to share best practices and ensure valuable information sharing
• Escalate significant matters to management, including the Global Compliance Officer, as appropriate.

Compensation/Benefits Information: S&P Global states that the anticipated base salary range for this position is $122,500 to $279,000. . Base salary ranges may vary by geographic location. This role is eligible to receive S&P Global benefits. For more information on the benefits we provide to our employees, visit . US Only

Qualifications:

• Education: Bachelor’s Degree or equivalent; law degree in US preferred.
• 7+ years of experience in Compliance roles in regulated and non-regulated businesses in a global environment; with knowledge of requirements for compliance issues facing a complex global business.
• Experience of the Indices/Trading business a strong plus.
• Experience in interacting with regulators, preferably in a newly regulated environment, and assisting with responses to regulatory inquiries.
• Unwavering ethics and integrity, and an ability to stand firm on issues with independence and probity
• A team player with strong interpersonal, people management and leadership skills, demonstrating confidence, practicality and resilience
• Strong analytical skills and ability to articulate guidance clearly and concisely.
• Ability to work effectively within the organization’s complex decision-making and matrixed organizational structure including to drive consensus across business groups
• Ability to maintain a global perspective and work with diverse colleagues across various jurisdictions.

About S&P Dow Jones Indices S&P Dow Jones Indices is the largest global resource for essential index-based concepts, data and research, and home to iconic financial market indicators, such as the S&P 500 ® and the Dow Jones Industrial Average®. More assets are invested in products based on our indices than products based on indices from any other provider in the world. Since Charles Dow invented the first index in 1884, S&P DJI has been innovating and developing indices across the spectrum of asset classes helping to define the way investors measure and trade the markets. S&P Dow Jones Indices 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 . To all recruitment agencies : S&P Global does not accept unsolicited agency resumes. Please do not forward such resumes to any S&P Global employee, office location or website. S&P Global will not be responsible for any fees related to such resumes. S&P Global is an equal opportunity employer committed to making all employment decisions without regard to race/ethnicity, gender, pregnancy, gender identity or expression, color, creed, religion, national origin, age, disability, marital status (including domestic partnerships and civil unions), sexual orientation, military veteran status, unemployment status, or any other basis prohibited by federal, state or local 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.

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202 – Middle Professional (EEO Job Group) (inactive), 20 – Professional (EEO-2 Job Categories-United States of America), RSKMGT202.2 – Middle Professional Tier II (EEO Job Group)

Job ID: 259026
Posted On: 2021-03-17
Location: New York, New York, United States