Compliance Officer - Control Room

Compliance Officer – Control Room

Grade Level (for internal use): 10

About the role:

Control Room is part of the Compliance Monitoring and Exams division of S&P Global Ratings Compliance. Its members apply standardized monitoring and surveillance protocols to mitigate compliance, regulatory, and reputational risk; prevent or manage conflict of interests; and help the 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 interest 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 restricted groups of employees. You will identify and escalation potential compliance issues arising from 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.

• Monitor communications between restricted groups of employees, acting as a gatekeeper and a chaperone where necessary.
• Conduct activities related 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 on relevant risk indicators and assist in identifying and remediating emerging compliance risks.

We are looking for a self‑starter with excellent work ethic and superb attention to detail. A team player with excellent interpersonal and communication skills and the ability to influence and challenge across all levels 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 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 PowerPoint skills.

Qualifications:

A bachelor’s degree supplemented by one or more years of professional experience in Research or Capital Markets Compliance, Internal Audit, or Operational Risk Management or a similar field, or an advanced degree in Finance or Law.

Ideal candidate will have three or more years of professional experience in Control Room Compliance, Compliance Monitoring or Surveillance from an Investment Bank, Investment Advisor, or a Credit Rating Agency.

Anticipated base salary range: $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 and additional S&P Global benefits.

Further benefits information can be found at