Compliance Officer - Control Room

About the Role Control Room operates within the Compliance Monitoring and Exams pillar of S&P Global’s Ratings Risk and Controls department. The team applies standardized monitoring and surveillance protocols to prevent or manage conflicts of interest and protect confidential and/or material non‑public information collected or generated as part of credit rating activities. Team members demonstrate initiative by connecting their daily surveillance work to broader organizational priorities and contribute to maintaining ethical firewalls across the firm.

The Impact and Responsibilities As a Compliance Officer in the Control Room, you will oversee controls designed to mitigate conflicts of interest and protect confidential information. You will exercise decision‑making authority over surveillance and monitoring activities while understanding how your work connects to broader risk‑management systems. You will take an end‑to‑end view when escalating potential violations and apply analytical solutions to data generated by Control Room monitoring activities.

Responsibilities Monitor communications between restricted groups of employees, acting as gatekeeper and chaperone while applying established policies and procedures. Maintain accurate and timely records of insiders and support the creation/validation of insider lists in response to regulatory requests, taking accountability for end‑to‑end process completion. Analyze and report relevant productivity and risk indicators, identifying emerging compliance risks and communicating insights clearly to stakeholders.

Escalate potential compliance issues promptly, demonstrating attention to detail and the ability to identify issues others may miss. Collaborate effectively with peers and immediate leadership to support consistent application of compliance controls. All employees are required to work from the office a minimum of 2 days per week.

Basic Required Qualifications An S&P Global employee at this level would typically have 2+ years of extensive experience in relevant Compliance, Internal Audit, Operational Risk, or Control Room functions within a financial institution or credit rating agency. Working knowledge of credit markets and the role of rating agencies in capital formation. Understanding of conflicts of interest in the context of independent credit rating analysis.

Strong understanding of information‑protection requirements, including safeguarding confidential and material non‑public information. Familiarity with US and EU financial regulatory frameworks. Practical understanding of operational or compliance risk‑management processes.

Proficiency in Excel and PowerPoint; experience using data analytics or business intelligence tools for reporting. Able to engage with and influence peers and immediate leadership. Actively listens and communicates complex information clearly.

Demonstrates resilience and the ability to remain focused when navigating challenges. Compensation & Benefits Compensation information applies to US candidates: anticipated base salary range $84,000 to $105,000 USD, final base salary depends on location, experience, skills, training, licenses, and certifications. Compensation information applies to Canadian candidates: anticipated range 75,000 CAD to 94,000 CAD, final compensation depends on performance, location, experience, skills, training, and certifications.

Benefits 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. Equal Opportunity Employer S&P Global is an equal opportunity employer and all qualified candidates will receive consideration for employment without regard to race/ethnicity, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, marital status, military veteran status, unemployment status, or any other status protected by 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. Job ID: 326926 Posted On: 2026-04-08 Location: New York, New York, United States #J-18808-Ljbffr