Compliance Officer - Control Room

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timePosted 9 days ago location United States salarySalary undisclosed
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Job Description

The Role: Compliance Officer - Control Rooms (Conflicts)

Grade: GL10 (Internal Purposes)

Location: New York or (Anywhere in the US or Canada)

The Team: Control Room is part of the Monitoring pillar of the Compliance and Control program at S&P Global Ratings. 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. The Conflicts team helps preserve ethical firewalls designed to manage conflicts of interests between different groups within the firm. Members of the Conflicts 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 the gatekeeper and chaperone with respect to permitted conversations 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 Compliance Officer responsible for Conflicts 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.
  • Analyze 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.
Basic Qualifications:
  • A bachelor's degree supplemented by with one or more years of professional experience in Research or Capital Markets Compliance, Internal Audit, or Operational Risk Management functions.
  • Good MS Excel, SQL, MS PowerPoint skills.
Preferred Qualifications:
  • Three 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.
  • Expert MS Excel, SQL and Business Intelligence tools, e.g., Power BI, Tableau, Qlik
About S&P Global Ratings

S&P Global Ratings is the world's leading provider of independent credit ratings. Our ratings are essential to driving growth, providing transparency and helping educate market participants so they can make decisions with confidence. We have more than 1 million credit ratings outstanding on government, corporate, financial sector and structured finance entities and securities. We offer an independent view of the market built on a unique combination of broad perspective and local insight. We provide our opinions and research about relative credit risk; market participants gain independent information to help support the growth of transparent, liquid debt markets worldwide.

S&P Global Ratings 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 www.spglobal.com/ratings.

S&P Global is an equal opportunity employer committed to making all employment decisions without regard to race/ethnicity, sex, 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: [email protected] and your request will be forwarded to the appropriate person.

The EEO is the Law Poster http://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf describes discrimination protections under federal law.

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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: 258262
Posted On: 2020-12-22
Location: New York, New York, United States