About the Role: Grade Level (for internal use): 10 The Role: Compliance Officer - Control Room
The Team: Control Room is part of the Compliance Monitoring and Exams part of S&P Global Ratings Compliance. Its members apply standardized monitoring and surveillance protocols to help mitigate compliance, regulatory and reputational risk; prevent or manage conflict of interests; help Ratings Division protect information collected or generated as part of its credit rating activities. Control Room helps preserve ethical firewalls designed to manage conflicts of interests between different groups within the firm. Members of the Control Room team ensure that communications across ethical firewalls are conducted in accordance with principles set forth in the firm's code of business ethics, policies and operating procedures.
The Impact: As a Compliance Officer in the Control Room you will be part of a global team tasked with overseeing controls designed to mitigate conflicts of interest and protect confidential information. You will act as a gatekeeper and a chaperone monitoring interactions between the restricted groups of employees. You will identify and escalate potential compliance issues arising out of monitored interactions. You will interact with Credit Issuers and Regulators in preparations of Insider Lists when required. You will be involved in analyzing data generated by Control Room's monitoring activities and derive insights and risk indicators with the help of business intelligence tools.
This role provides an opportunity to make a significant and visible contribution to the team's and compliance department's effort. Exposure to compliance risk and controls management and regulatory technology. A great opportunity to acquire and apply data analytics and business intelligence skills.
Responsibilities: As a Control Room Compliance Officer, you will be expected to
Monitor communications between restricted groups of employees, act as a gatekeeper and a chaperone where necessary.
Conduct activities relating to accurate and timely recording of insiders and creation and validation of insider lists in relation to regulatory requests
Draft Compliance management information reports for various business and senior management stakeholders.
Analyse and report of relevant risk indicators and assist in identifying and remediating emerging compliance risks.
What We're Looking For: We are looking for a self-starter with excellent work ethic and superb attention to detail. Someone who has a strong interest in compliance risk management in the context of the global financial regulatory framework . A team player with excellent interpersonal and communication skills with the ability to influence and challenge across all level within the organization.
Good understanding of credit markets and the role of rating agencies in the capital formation process.
Good understanding of the nature of conflicts of interest in the context of investment research or credit rating analysis.
Good understanding of the nature of protection of information, in particular managing confidential and material non-public information
Good understanding of the US and the EU financial regulation framework.
Some understanding of operational or compliance risk management process.
Excellent excel and power-point skills.
Qualifications:
A bachelor's degree supplemented by (1) or more years of professional experience in Research or Capital Markets Compliance, Internal Audit, or Operational Risk Management or similar fields, or an advanced degree in Finance or Law.
Ideal candidate will have (3) or more years of professional experience in the field of Control Room Compliance, Compliance Monitoring or Surveillance from an Investment Bank, Investment Advisor or a Credit Rating Agency.
Good MS Excel, MS PowerPoint skills.
Compensation/Benefits Information (US Applicants Only): S&P Global states that the anticipated base salary range for this position is $70,300 to $139,800 . Base salary ranges may vary by geographic location.
In addition to base compensation, this role is eligible for an annual incentive plan.
This role is eligible to receive additional S&P Global benefits. For more information on the benefits we provide to our employees, visit https://www.spgbenefitessentials.com/newhires .
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.spglobal.com/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 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.
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://www.spglobal.com/en/careers/our-culture/
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: EEO.Compliance@spglobal.com and your request will be forwarded to the appropriate person.
US Candidates Only: The EEO is the Law Poster http://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf describes discrimination protections under federal law.
202 - Middle Professional (EEO Job Group) (inactive), 20 - Professional (EEO-2 Job Categories-United States of America), RSKMGT202.1 - Middle Professional Tier I (EEO Job Group)
Job ID: 293248 Posted On: 2024-03-31 Location: New York, New York, United States
