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.
What's in it for you: 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 who can work independently with minimal supervision. Someone who has a strong interest in compliance risk management with good understanding of financial markets and the US and EU financial regulatory framework. A global team player with excellent communication skills and ability to influence and challenge across all level within the organization.
Good working knowledge 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 functions.
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 Company or a Credit Rating Agency.
Good MS Excel, SQL, MS PowerPoint skills.
About S&P Global Ratings
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 .
S&P Global Ratings offers critical insights for credit, risk and sustainable finance solutions that are essential to translating complexity into clarity, so market participants can uncover opportunities. 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: 2023-10-31 Location: Boulder, Colorado, United States
