Compliance Officer - Control Room (Monitoring & Surveillance)

Company: S&P Global
Location: Denver
Posted on: February 22, 2021

Job Description:

The Role: Compliance Officer - Control Room (Monitoring & Surveillance) Grade ( relevant for internal applicants only ): GL11 The Location: London, New York, Centennial 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 Impact: As a Compliance Officer in the Control Room you will be part of a Global team tasked with performing monitoring and surveillance functions aimed at identifying possible infractions of the Conflicts of Interest, Protection of Information and Market Interaction Policies. What's in it for you: This role provides an opportunity to make a significant and visible contribution to the team's efforts and to the department with significant exposure to risk and controls functions, compliance management and technology. A great opportunity to learn and apply data analytics and business intelligence gathering and reporting skills. Responsibilities: As a Compliance Officer responsible for standard monitoring reviews, you will be expected to

• Identify monitoring exceptions generated systematically or flagged as possible exceptions by other Compliance and Risk staff.
• Collate, prepare and deliver information for regulatory examinations or requests by various regulatory bodies globally.
• Develops and operates new monitoring tests and updates procedures accordingly.
• Measures and reports on productivity, risk indictors utilizing business intelligence tools, Tableau, Qlik.
• Examines new business proposals and operational changes that have compliance-related implications.
• Conducts compliance reviews and compliance risk assessments, identifies potential weaknesses/gaps and recommends corrective actions.
• Refer potential findings to senior compliance members, legal and lines of business as needed.
• Demonstrate ability to manage own work with limited supervision and train other team members as required. 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 solid understanding of compliance risk management process as well as good working knowledge of the US and the EU financial regulation framework. A global team player with excellent communication skills and aptitude for problem solving. Basic Qualifications:
  • A bachelor's degree supplemented by with three or more years of professional experience in the field of regulatory compliance or risk management.
  • Proficient understanding of credit markets and the role of ratings agencies in the capital market space.
  • Ability to multi-task and work under competing deadlines.
  • Very strong analytical skills, with the ability to communicate and present analysis, information and reports to all levels of the organization.
  • The ability to generate innovative ideas, challenge the status quo and deliver effectively.
  • 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
    • Multi language skills a plus. 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 . 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: and your request will be forwarded to the appropriate person. The EEO is the Law Poster describes discrimination protections under federal law. #LI-MB1 202 - Middle Professional (EEO Job Group) (inactive), 20 - Professional (EEO-2 Job Categories-United States of America), RSKMGT202.2 - Middle Professional Tier II (EEO Job Group) Job ID: 259586 Posted On: 2021-02-17 Location: London, United Kingdom

Keywords: S&P Global, Denver , Compliance Officer - Control Room (Monitoring & Surveillance), Other , Denver, Colorado