Compliance Officer - Control Room Dublin Office

  • Competitive
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • S&P Global
  • 18 Jul 18 2018-07-18

Compliance Officer - Control Room Dublin Office

JobDescription :
Compliance Officer - Control Room Location: Dublin
The Role
As a Compliance Officer in the Control Room you will be part of a global team tasked with overseeing controls in relation to credit rating analyst conflicts of interest and protection of confidential and/or material, non-public information. As part of this role you will be involved in monitoring electronic communications between restricted groups of employees. You will act as the gatekeeper and chaperone with respect to permitted conversations between restricted groups of employees in line with firm's Conflict of Interest Policy. You will assist in analyzing exceptions generated by Control Room's communication surveillance and information barrier monitoring reports to identify and mitigate emerging compliance risks.
Key Roles & Responsibilities

  • Conduct email surveillance, flag and escalate problematic emails, maintain case management entries related to said escalations.
  • Monitor communications between restricted groups of employees, act as a gatekeeper and a chaperone where necessary.
  • 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.

Functional & Business Knowledge
  • Good working knowledge of credit markets and the role of rating agencies in the capital formation process.
  • Solid understanding of the US and the EU financial regulation framework.
  • Good understanding of operational or compliance risk management process.
  • Good understanding of the nature of conflicts of interest in the context of investment research or credit rating analysis.
  • Excellent excel and power-point skills.

Minimum Requirements
  • Bachelor Degree in Economics, Finance or MIS.
  • Track record of professional experience in Research or Capital Markets Compliance, Internal Audit, or Operational Risk Management functions.
  • Strong knowledge of credit markets and understanding of financial regulation.
  • Strong process background identifying and addressing exceptions/issues.
  • Interest in global work and able to work effectively with individuals of diverse cultural backgrounds.
  • Good communicator with the ability to influence and challenge across all level within the organization.
  • A self-starter with good judgment.