Full-Time

Commercial Associate Director

Regulatory Compliance

Posted on 2/25/2025

S&P Global

S&P Global

10,001+ employees

Provides financial information and analytics services

Compensation Overview

$146.1k - $200k/yr

+ Annual Incentive Plan

Senior

No H1B Sponsorship

New York, NY, USA

Category
Risk & Compliance
Legal & Compliance
Connection
Connection
Connection
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Requirements
  • Minimum of 5 years of experience within the financial services industry, particularly in roles related to Onboarding, KYC or Operations.
  • Deep understanding of financial industry regulations, including Dodd-Frank, EMIR, MiFID II, CFTC, and other global and multi-jurisdictional regulatory frameworks.
  • In-depth knowledge of critical financial documents such as ISDA Master Agreements, Investment Management Agreements (IMAs), prospectuses, tax forms, and other documentation essential for establishing and maintaining trading relationships between organizations.
  • Familiarity with client lifecycle management (CLM) tools and workflows, particularly those that support Onboarding, regulatory and compliance requirements.
  • Proficiency in utilizing workflow automation tools to enhance document handling compliance processes, and data management.
  • Exceptional communication skills, with the ability to influence and engage senior stakeholders both internally and externally, particularly within the investment management sector.
  • Excellent verbal and written communication skills, with the ability to present complex information clearly to both technical and non-technical stakeholders.
  • Strong leadership qualities, with experience in leading cross-functional teams and fostering collaboration between sales, technology, and product management to deliver client-centric solutions.
  • Strong analytical skills with the ability to interpret regulatory requirements and translate them into actionable business solutions.
  • Demonstrated ability to manage complex relationships including navigating senior-level meetings and contacts.
  • Experience in leading and coordinating large-scale change projects, especially those involving technology or operational improvements in regulatory and documentation solutions.
  • Strong project management skills with a proven ability to oversee multiple initiatives, ensuring timely execution and alignment with strategic goals.
Responsibilities
  • Define and implement the go-to-market and product strategy.
  • Identify target clients.
  • Lead bi-weekly global meetings with sales teams; track decision-makers, pricing, and client engagement progress.
  • Organize and maintain industry working groups, including scheduling, topics, and participant engagement.
  • Ensure monthly client communication on new features, updates, and key metrics.
  • Conduct monthly revenue reviews, tracking deal progress and ensuring alignment with revenue plans.
  • Evaluate and refine pricing models, ensuring they are competitive and aligned with client needs.
  • Identify and prototype new revenue streams; develop business cases for market evaluation.
  • Coordinate and finalize Statements of Work with Sales, Managed Services, and Product teams.
  • Contribute to use case identification, process flows, and feature requirements.
  • Participate in planning and prioritizing platform enhancements and prototypes.
  • Collaborate with internal stakeholders to ensure platform design meets client and industry requirements.
  • Identify and evaluate internal and external capabilities for platform integration.
  • Manage relationships with internal teams and external partners, ensuring seamless integration.
  • Develop business cases for integration, focusing on client efficiencies and expanded market opportunities.
  • Ensure a smooth transition from sales to implementation; oversee client onboarding processes.
  • Act as a point of escalation during implementation to resolve issues and ensure client satisfaction.
  • Maintain ongoing client relationships post-implementation to support future product education and adoption.

S&P Global provides financial information and analytics to a wide range of clients, including investors, corporations, and governments. The company offers services such as credit ratings, market intelligence, and indices, which help clients understand market trends and make informed decisions. S&P Global's products work by utilizing advanced data analytics and research to deliver insights that assist in risk management and growth strategies. Unlike many competitors, S&P Global has a strong focus on corporate responsibility, diversity, and inclusion, aiming to create a positive impact on society and the environment. The company's goal is to empower clients with the information they need to navigate the global financial markets effectively.

Company Size

10,001+

Company Stage

IPO

Headquarters

New York City, New York

Founded

1917

Simplify Jobs

Simplify's Take

What believers are saying

  • Acquisition of ProntoNLP boosts S&P Global's data analytics and sentiment scoring.
  • S&P Global's stake in Orbcomm enhances its supply chain and maritime offerings.
  • Growing demand for ESG data drives S&P Global's expansion in sustainability solutions.

What critics are saying

  • Integration challenges with ProntoNLP may affect data analytics enhancements.
  • Competition from AI-powered platforms like Quantifind could impact market position.
  • Volatility in the hydrogen market may affect S&P Global's new acquisitions.

What makes S&P Global unique

  • S&P Global integrates AI and NLP for enhanced data analytics capabilities.
  • The company offers a comprehensive suite of financial services, including credit ratings and indices.
  • S&P Global's commitment to ESG solutions sets it apart in the financial services sector.

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Benefits

Health Insurance

Unlimited Paid Time Off

Professional Development Budget

401(k) Company Match

Family Planning Benefits

Employee Discounts

Company News

Yahoo Finance
Apr 25th, 2025
S&P Global goes deeper into supply chain with Orbcomm tie-up

S&P Global is making a multistep deal with Orbcomm, taking a stake in it and buying a maritime offering. The post S&P Global goes deeper into supply chain with Orbcomm tie-up appeared first on FreightWaves.

PR Newswire
Jan 16th, 2025
Quantifind Raises $22M for AI Compliance

Quantifind, a leader in AI-powered financial crime intelligence, raised $22 million from investors including Deloitte Ventures and Stephens Group. The funding will support the global expansion of its AI solutions and the launch of its Payments Risk Intelligence solution. Quantifind's Graphyte platform enhances transaction screening with advanced AI models, improving speed, accuracy, and scalability to combat financial crime and reduce false positives.

Investing.com
Jan 6th, 2025
S&P Global Acquires AI Firm ProntoNLP

S&P Global has acquired AI firm ProntoNLP to enhance its data analytics capabilities, integrating ProntoNLP's NLP and LLM tools into its Market Intelligence division for improved event detection and sentiment scoring. The deal closed on December 31, 2024, with undisclosed financial terms. S&P Global reported a 16% year-over-year revenue increase to $3.6 billion in Q3 2024, driven by an 80% surge in ratings division revenue. The company revised its 2024 revenue growth forecast to 11.5%-12.5%.

PR Newswire
Dec 20th, 2024
Brooklyn AI Research Secures Strategic Funding

Brooklyn Artificial Intelligence Research, parent of Brooklyn Investment Group, announced a strategic funding round led by Atypical Ventures, with participation from S&P Global Ventures and others. The funding will help scale Brooklyn's multi-asset direct indexing platform, which offers personalized and tax-managed investing solutions. The platform supports asset managers and RIAs, with a client base managing over $2 trillion in assets.

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