Control Room Compliance Gatekeeper

S&p Global; Atlanta (GA); On-site; USD 70,300 - 139,800; Full time

Job summary

S&P Global Compliance Monitoring and Exams seeks a Compliance Officer for the Control Room in the United States. The role oversees controls to mitigate conflicts of interest and protect confidential information, acting as gatekeeper and supervising communications among restricted employee groups.

The position requires a bachelor’s degree and 3+ years in Control Room Compliance, monitoring, or surveillance within financial services. Base salary ranges with incentive opportunities reflect U.S.

Qualifications

• We are looking for a self-starter with excellent work ethic and superb attention to detail.
• A team player with excellent interpersonal and communication skills and the ability to influence across all levels.
• Bachelor’s degree supplemented by one or more years of professional experience in Research or Capital Markets Compliance, Internal Audit, or Operational Risk Management or a related field.

Responsibilities

• Monitor communications between restricted groups of employees, acting as a gatekeeper and a chaperone where necessary.
• Conduct activities related 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 on relevant risk indicators and assist in identifying and remediating emerging compliance risks.

Skills

Self-starter

Team player

Interpersonal skills

Attention to detail

Education

Bachelor’s degree + relevant experience

Tools

Excel

PowerPoint

Job description

S&P Global Compliance Monitoring and Exams seeks a Compliance Officer for the Control Room in the United States. The role oversees controls to mitigate conflicts of interest and protect confidential information, acting as gatekeeper and supervising communications among restricted employee groups.

The position requires a bachelor’s degree and 3+ years in Control Room Compliance, monitoring, or surveillance within financial services. Base salary ranges with incentive opportunities reflect U.S.