Help us maintain the quality of jobs posted on PowerToFly. Let us know if this job is closed.
Job Details
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.
- 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.
- 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.
- 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.
About the Company
S&P Global
United States
At S&P Global we transform data into Essential Intelligence®, pinpointing risks and opening up possibilities. We Accelerate Progress in the world.... Read more