Compliance Officer, Monitoring & Surveillance
Compliance Officer - Monitoring & Surveillance Grade
( relevant for internal applicants only ): GL11 The Location:
London, New York, Centennial The Team:
The Control, Monitoring & Examination Group, within the Compliance and Risk Department at S&P Global Ratings, develops and implements preventive and detective controls to mitigate compliance, regulatory and reputational risk; prevent or manage conflict of interests; and safeguard confidential information from misuse. The monitoring and surveillance team conducts periodic independent testing of credit rating activities and operations for adherence to compliance policies and procedures and regulatory requirements and assesses the adequacy and effectiveness of compliance controls. The Impact:
As a Compliance Officer in the Compliance and Risk Department, you will be part of a Global team tasked with performing monitoring and surveillance functions aimed at assessing adherence to Conflicts of Interest, Protection of Information, Market Interaction and other policies that implement U.S. SEC and global regulations for Credit Rating Agencies. 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. Compensation/Benefits Information (US Applicants Only):
S&P Global states that the anticipated base salary range for this position is $67,600 to $190,100. Base salary ranges may vary by geographic location.
In addition to base compensation, this role is eligible for an annual incentive bonus.
This role is eligible to receive additional S&P Global benefits. For more information on the benefits we provide to our employees, visit https://www.spgbenefitessentials.com/newhires . Responsibilities:
As a Compliance Officer responsible for periodic monitoring reviews, you will be expected to
What We're Looking For:
- Review exceptions generated systematically or flagged as possible exceptions by other Compliance and Risk staff and assess whether Compliance Policies and regulations were breached.
- Collate, prepare and deliver information for regulatory examinations or requests by various regulatory bodies globally.
- Develop and operate new monitoring tests and update procedures accordingly.
- Measure and report on productivity and risk-ranked findings utilizing business intelligence tools, Tableau, Qlik.
- Examine new business proposals and operational changes that have compliance-related implications.
- Conduct compliance reviews and compliance risk assessments, identify potential weaknesses/gaps and recommend 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.
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. Foundational knowledge of credit rating agency regulation is a plus. A global team player with excellent communication skills and aptitude for problem solving. Basic Qualifications:
- A bachelor's degree supplemented by 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
About S&P Global Ratings
- 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.
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 www.spglobal.com/ratings .
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: EEO.Compliance@spglobal.com
and your request will be forwarded to the appropriate person.
The EEO is the Law Poster http://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf describes discrimination protections under federal law.
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 other legally protected categories, subject to applicable law.
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:
London, United Kingdom