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JobDescription :

S&P Global Ratings

The Role: Control Room Officer

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.

The Location: Canary Wharf, London

The Team/Business: 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.

The Impact: 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 maintain records and logs of permitted communications as well as identify and escalate potential compliance issues arising out of chaperoned communications. You will perform processes related to recording of “Insiders” and protection of information flows within the firm. Furthermore, you will be tasked with analyzing and reporting relevant productivity and risk indicators and assist in identifying and remediating emerging compliance risks. You will assist in analyzing exceptions generated by Control Room’s communication surveillance and information barrier monitoring reports.

The Career Opportunity:   You would be joining a global team of compliance professionals supporting efforts to design and implement a robust compliance program in an evolving regulatory environment. 

Requirements:

  • Bachelor Degree in Economics or Finance. Advanced Business degree preferred.
  • Experience of Control Room or Research or Capital Markets Compliance experience from a global financial services firm or the equivalent experience in any of Compliance, 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.

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 www.spglobal.com/ratings

To all recruitment agencies: S&P Global does not accept unsolicited agency resumes. Please do not forward such resumes to any S&P Global employee, office location or website. S&P Global will not be responsible for any fees related to such resumes.

S&P Global is an equal opportunity employer committed to making all employment decisions without regard to race/ethnicity, gender, 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.

S&P Global is an equal opportunity employer. Only electronic job submissions will be considered for employment. For special accommodation due to disability, please email webmaster@spglobal.com and your request will be forwarded to the appropriate individual.

Job ID :
230172
Posted On :
8-22-2017
Location :
London, UK
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