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Compliance Officer - Control Room

S&P Global (North America)
New York City, New York (US)
Competitive Salary + Benefits
Closing date
Jul 7, 2024

Job Details

he Role: Compliance Officer – Control Room                                                         

The Team: Control Room is part of the Compliance Monitoring and Exams part of S&P Global Ratings Compliance.  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.  Control Room helps preserve ethical firewalls designed to manage conflicts of interests between different groups within the firm.  Members of the Control Room team ensure 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 act as a gatekeeper and a chaperone monitoring interactions between the restricted groups of employees. You will identify and escalate potential compliance issues arising out of monitored interactions. You will interact with Credit Issuers and Regulators in preparations of Insider Lists when required. You will be involved in analyzing data generated by Control Room’s monitoring activities and derive insights and risk indicators with the help of business intelligence tools.  

This role provides an opportunity to make a significant and visible contribution to the team’s and compliance department’s effort.  Exposure to compliance risk and controls management and regulatory technology. A great opportunity to acquire and apply data analytics and business intelligence skills.

Responsibilities: As a Control Room Compliance Officer, you will be expected to

  • Monitor communications between restricted groups of employees, act as a gatekeeper and a chaperone where necessary.


  • Conduct activities relating to accurate and timely recording of insiders and creation and validation of insider lists in relation to regulatory requests


  • Draft Compliance management information reports for various business and senior management stakeholders.


  • Analyse and report of relevant risk indicators and assist in identifying and remediating emerging compliance risks.


What We’re Looking For: We are looking for a self-starter with excellent work ethic and superb attention to detail.  Someone who has a strong interest in compliance risk management in the context of the global financial regulatory framework. A team player with excellent interpersonal and communication skills with the ability to influence and challenge across all level within the organization. 


  • Good understanding of credit markets and the role of rating agencies in the capital formation process.


  • Good understanding of the nature of conflicts of interest in the context of investment research or credit rating analysis.


  • Good understanding of the nature of protection of information, in particular managing confidential and material non-public information


  • Good understanding of the US and the EU financial regulation framework.  


  • Some understanding of operational or compliance risk management process.


  • Excellent excel and power-point skills.




  • A bachelor’s degree supplemented by (1) or more years of professional experience in Research or Capital Markets Compliance, Internal Audit, or Operational Risk Management or similar fields, or an advanced degree in Finance or Law. 


  • Ideal candidate will have (3) or more years of professional experience in the field of Control Room Compliance, Compliance Monitoring or Surveillance from an Investment Bank, Investment Advisor or a Credit Rating Agency.


  • Good MS Excel, MS PowerPoint skills. 



About S&P Global Ratings

S&P Global Ratings, a part of S&P Global Inc. (NYSE: SPGI), is the world's leading provider of credit ratings. We have more than 1 million credit ratings outstanding on government, corporate, financial sector and structured finance entities and securities. With approximately 1,400 credit analysts, a presence in 30 countries and more than 150 years' experience of assessing credit risk, we offer a unique combination of global coverage and local insight. We provide our opinions and research about relative credit risk; market participants gain information to help support the growth of transparent, liquid debt markets worldwide. To learn more, please visit us at S&P Global has a proud 156-year heritage as a trusted source of information to the business community -- bringing transparency and cutting edge research and analytics to markets worldwide. Integrity, excellence, and relevance remain at the center of everything we do. Today, across markets, the need for actionable insights is critical, because every decision is only as good as the intelligence used to make it. That is why our employees are committed to a common purpose: we provide the intelligence that is essential for companies, governments, and individuals to make decisions with conviction

Company info
55 Water Street
New York
New York

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