About the Role
Grade Level (for internal use): 10
The Team
Control Room operates within the Compliance Monitoring and Exams pillar of S&P Global's Ratings Risk and Controls department.
Our team members demonstrate initiative by connecting their daily surveillance and monitoring work to our broader organizational priorities of mitigating compliance, regulatory and reputational risk.
We apply standardized monitoring and surveillance protocols to prevent or manage conflicts of interest and help the Ratings Division protect confidential information collected or generated as part of its credit rating activities.
Control Room actively contributes to preserving ethical firewalls designed to manage conflicts of interest between different groups within the firm.
Team members take ownership of ensuring 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 exercise decision-making authority over your surveillance and monitoring activities while understanding how your work connects to our broader risk management systems and processes.
You will act as a gatekeeper and chaperone monitoring interactions between restricted groups of employees.
You will take initiative to identify and address compliance issues arising from monitored interactions and take an end-to-end view when escalating potential violations.
You will interact with Credit Issuers and Regulators in preparation of Insider Lists when required.
You will apply analytical solutions to data generated by Control Room's monitoring activities, deriving insights and risk indicators through business intelligence tools.
What You Stand to Gain
This role provides an opportunity to make a significant and visible contribution to the team's and compliance department's efforts.
You will gain exposure to compliance risk and controls management and regulatory technology while building expertise in financial markets regulatory frameworks.
This represents an excellent opportunity to develop your analytical capabilities and apply data analytics and business intelligence skills in a specialized compliance environment.
You will enhance your ability to communicate complex regulatory information clearly and effectively to various stakeholders across the organization.
Responsibilities
Monitor communications between restricted groups of employees with minimal oversight, acting as both gatekeeper and chaperone while applying established policies and procedures.
Execute activities related to accurate and timely recording of insiders and creation/validation of insider lists in response to regulatory requests, taking accountability for end-to-end process completion.
Analyse and report relevant risk indicators, taking initiative to identify emerging compliance risks.
Collaborate effectively with colleagues across functions to achieve common compliance risk management goals.
Demonstrate attention to detail in identifying potential compliance issues within monitored communications.
All employees are required to work from the office a minimum of 2 days per week.
We require all candidates who reach the final stage of our interview process to attend at least one in-person interview, which is ordinarily at your nearest S&P Global Ratings office.
This must be completed before we can proceed to an offer.
What We're Looking For
A S&P Global employee at this level typically has a bachelor's degree plus 2+ years in Research/Capital Markets Compliance, Internal Audit, or Operational Risk Management functions, ideally in the field of Control Room Compliance, Compliance Monitoring, or Surveillance from Investment Bank, Investment Company, or Credit Rating Agency.
Comprehensive working knowledge of credit markets and rating agencies' role in capital formation.
Strong understanding of conflicts of interest in the context of provision of independent investment research or credit rating analysis.
Thorough understanding of information protection requirements, particularly requirements to safeguard confidential and material non-public information.
Solid grasp of US and EU financial regulatory frameworks.
Practical understanding of operational or compliance risk management processes.
Proficiency in Excel, PowerPoint.
Proven experience using generative AI tools for data analysis and stakeholder reporting.
Excellent communication skills with ability to influence across all organizational levels.
Self-starter with strong work ethic and attention to detail who works independently.
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: ****** and your request will be forwarded to the appropriate person.
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Job ID
******
Posted On
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Location
London, United Kingdom
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