S&P; Global Ratings Compliance Officer - Madrid, Spain The Compliance Officer for Spain is based in Madrid and responsible for implementing and monitoring the Compliance Program primarily for S&P; Global Ratings in Spain but with a required on-going support to the extended activities and the S&P; Global Ratings' Compliance Program in the entire Region (EU).
The Impact: The role involves a broad range of activities, including providing a Compliance advisory service, implementing an education program, reporting to regional senior management on compliance developments, and participating in investigations and compliance monitoring activities.
The Team/Business: A small, high-profile team, part of an international business in an evolving regulatory landscape.
What's in it for you: You will play an important role within the EU Covering Compliance team and its overarching goal of maintaining an effective and strong Compliance Program.
Responsibilities:
Provide a credible reliable and responsive advisory service to the Ratings Businesses as well as key support personnel. Provide support to the EMEA Chief Compliance Officer (CCO) and the EU Regional Covering Compliance Manager (EURCM) regarding significant compliance matters and issues; participate on relevant committees; identify operational/IT resources required for an effective compliance program and relay those requirements to the EURCM for evaluation and execution. Direct and maintain an effective compliance communication program for the organization throughout your area 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 related to other EMEA offices. Assist in the development of wider compliance training initiatives and in ongoing communications that promote heightened awareness of codes of conduct, compliance policies and procedures and the understanding of compliance issues. Compliance Program On-Going Development and Implementation 75% In supporting the implementation of the Compliance Program you will:
Maintain an effective Compliance Program that identifies regulatory requirements and attendant risks for your area. Assess and measure the magnitude of regulatory and reputational risks for your area. Establish routines and methods to evaluate and respond to exceptions including recommending investigative procedures, as appropriate. Ensure consistency in control methodologies and in interpretation of results. Direct the on-going enhancement of a state-of-the-art compliance training program for existing staff in Madrid and EMEA-wide. Identify potential areas of compliance vulnerability and risk; implement corrective action and provide general guidance on how to avoid or deal with similar situations in the future. Consult and collaborate with other departments (e.g., Legal, Risk Management, Human Resources, etc.)
to direct compliance issues to appropriate existing channels for investigation and resolution. Liaise with local management, staff and compliance management in the determination, follow-up and escalation of issues arising from monitoring activities. Reporting Responsibilities 20% Ensure proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required. Direct the conduct, reporting and follow-up of any compliance-related internal reviews (or the compliance-related aspects of any wider internal reviews or investigations as required). Provide reports on a regular basis, and as directed or requested, to keep the EURCM, EMEA CCO and regional senior management informed of the operation and progress of compliance efforts. Additional Activities 5% Be an ambassador representing S&P; Compliance to local regulators, government institutions and industry associations. Represent S&P; at public events, in relevant industry initiatives and on industry committees. Assist with the preparation and review of regulatory filings. Facilitate regulatory examinations and inquiries and conduct preparatory efforts (including the collation of required information and briefing of senior management and other examinees). Qualifications/Experience:
Compliance experience in financial services industry, investment banking, credit rating agency, regulatory consultancy or with a regulator. Understanding and previous experience with management of Conflicts of Interest. Native Spanish speaker with fluent business-level knowledge of English. 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. Self-motivated and well organized; able to prioritize tasks and work well under pressure; able to stay abreast of compliance developments.
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