Control Room Analyst

Grade Level (for internal use):

The Team

Control Room operates within the Compliance Monitoring and Exams pillar of S&P Global's Ratings Risk and Controls department. Our team members demonstrate initiative by connecting their daily surveillance and monitoring work to our broader organizational priorities of mitigating compliance, regulatory and reputational risk. We apply standardized monitoring and surveillance protocols to prevent or manage conflicts of interest and help the Ratings Division protect confidential information collected or generated as part of its credit rating activities. Control Room actively contributes to preserving ethical firewalls designed to manage conflicts of interest between different groups within the firm. Team members take ownership of ensuring 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 exercise decision-making authority over your surveillance and monitoring activities while understanding how your work connects to our broader risk management systems and processes. You will act as a gatekeeper and chaperone monitoring interactions between restricted groups of employees. You will take initiative to identify and address compliance issues arising from monitored interactions and take an end-to-end view when escalating potential violations. You will interact with Credit Issuers and Regulators in preparation of Insider Lists when required. You will apply analytical solutions to data generated by Control Room's monitoring activities, deriving insights and risk indicators through business intelligence tools.

What You Stand to Gain: 

This role provides an opportunity to make a significant and visible contribution to the team's and compliance department's efforts. You will gain exposure to compliance risk and controls management and regulatory technology while building expertise in financial markets regulatory frameworks. This represents an excellent opportunity to develop your analytical capabilities and apply data analytics and business intelligence skills in a specialized compliance environment. You will enhance your ability to communicate complex regulatory information clearly and effectively to various stakeholders across the organization.

Responsibilities: 

• Monitor communications between restricted groups of employees with minimal oversight, acting as both gatekeeper and chaperone while applying established policies and procedures.
• Execute activities relating to accurate and timely recording of insiders and creation/validation of insider lists in response to regulatory requests, taking accountability for end-to-end process completion
• Analyse and report relevant risk indicators, taking initiative to identify emerging compliance risks. Collaborate effectively with colleagues across functions to achieve common compliance risk management goals
• Demonstrate attention to detail in identifying potential compliance issues within monitored communications.  
• All employees are required to work from the office a minimum of 2 days per week.
• We require all candidates who reach the final stage of our interview process to attend at least one in-person interview, which is ordinarily at your nearest S&P Global Ratings office. This must be completed before we can proceed to an offer.

What We're Looking For:

• A S&P Global employee at this level typically has a bachelor’s degree plus 2+ years in Research/Capital Markets Compliance, Internal Audit, or Operational Risk Management functions, ideally in the field of Control Room Compliance, Compliance Monitoring, or Surveillance from Investment Bank, Investment Company, or Credit Rating Agency
• Comprehensive working knowledge of credit markets and rating agencies' role in capital formation
• Strong understanding of conflicts of interest in the context of provision of independent investment research or credit rating analysis.
• Thorough understanding of information protection requirement, particularly requirements to safeguard confidential and material non-public information
• Solid grasp of US and EU financial regulatory frameworks
• Practical understanding of operational or compliance risk management processes
• Proficiency in Excel, PowerPoint. Proven experience using generative AI tools for data analysis and stakeholder reporting
• Excellent communication skills with ability to influence across all organizational levels
• Self-starter with strong work ethic and attention to detail who works independently

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About S&P Global Ratings
At S&P Global Ratings, our analyst-driven credit ratings, research, and sustainable finance opinions provide critical insights that are essential to translating complexity into clarity so market participants can uncover opportunities and make decisions with conviction. By bringing transparency to the market through high-quality independent opinions on creditworthiness, we enable growth across a wide variety of organizations, including businesses, governments, and institutions.

S&P Global Ratings is a division of S&P Global (NYSE: SPGI).  S&P Global is the world’s foremost provider of credit ratings, benchmarks, analytics and workflow solutions in the global capital, commodity and automotive markets. With every one of our offerings, we help many of the world’s leading organizations navigate the economic landscape so they can plan for tomorrow, today.
For more information, visit www.spglobal.com/ratings

What’s In It For You?

Our Mission:

Advancing Essential Intelligence.

Our People:

We're more than 35,000 strong worldwide—so we're able to understand nuances while having a broad perspective. Our team is driven by curiosity and a shared belief that Essential Intelligence can help build a more prosperous future for us all.From finding new ways to measure sustainability to analyzing energy transition across the supply chain to building workflow solutions that make it easy to tap into insight and apply it. We are changing the way people see things and empowering them to make an impact on the world we live in. We’re committed to a more equitable future and to helping our customers find new, sustainable ways of doing business. Join us and help create the critical insights that truly make a difference.

Our Values:

Integrity, Discovery, Partnership

Throughout our history, the world's leading organizations have relied on us for the Essential Intelligence they need to make confident decisions about the road ahead. We start with a foundation of integrity in all we do, bring a spirit of discovery to our work, and collaborate in close partnership with each other and our customers to achieve shared goals.
Benefits:

We take care of you, so you can take care of business. We care about our people. That’s why we provide everything you—and your career—need to thrive at S&P Global.
Our benefits include: 

• Health & Wellness: Health care coverage designed for the mind and body.

• Flexible Downtime: Generous time off helps keep you energized for your time on.

• Continuous Learning: Access a wealth of resources to grow your career and learn valuable new skills.

• Invest in Your Future: Secure your financial future through competitive pay, retirement planning, a continuing education program with a company-matched student loan contribution, and financial wellness programs.

• Family Friendly Perks: It’s not just about you. S&P Global has perks for your partners and little ones, too, with some best-in class benefits for families.

• Beyond the Basics: From retail discounts to referral incentive awards—small perks can make a big difference.

For more information on benefits by country visit: https://spgbenefits.com/benefit-summaries

Global Hiring and Opportunity at S&P Global:

At S&P Global, we are committed to fostering a connected and engaged workplace where all individuals have access to opportunities based on their skills, experience, and contributions. Our hiring practices emphasize fairness, transparency, and merit, ensuring that we attract and retain top talent. By valuing different perspectives and promoting a culture of respect and collaboration, we drive innovation and power global markets.

S&P Global has a Securities Disclosure and Trading Policy (“the Policy”) that seeks to mitigate conflicts of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to the Policy’s requirements, candidates at S&P Global may be asked to disclose securities holdings. Some roles may include a trading prohibition and remediation of positions when there is an effective or potential conflict of interest. Employment at S&P Global is contingent upon compliance with the Policy.

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