Digital Communications Surveillance Jr. Analyst - Compliance & Risk

About the Role

Grade Level (for internal use): 09

The Team

Our team, in the Global Compliance Department of S&P Global Ratings, is responsible for surveillance and oversight of electronic communications and digital communication media. The team performs as a second-line support to business unit management that provide Credit Ratings and analysis and their operations support groups located around the world.

The Impact

Your work as a Digital Communications Surveillance Analyst, monitoring the propriety of electronic and digital communications, is essential to mitigate the company's regulatory risk and reputational harm.

What you stand to Gain

We invite qualified candidates to come and grow as a Compliance professional at S&P Global Ratings, a leading provider of credit ratings. In the role of Digital Communication Surveillance Analyst, you will be keeping up with developments in digital communication and surveillance technology and be challenged to devise proactive compliance and risk management responses.

Responsibilities

• Daily surveillance of electronic mail, instant messaging, and other forms of digital media, to identify and mitigate failures to comply with regulations, policies and ethical codes.
• Review electronic communications flagged by our electronic surveillance system, performing analysis and inquiry as necessary to determine an escalation path to mitigate compliance or risk issues.
• Identify and escape potential compliance issue arising out of monitored interactions between groups of employees.
• Apply your knowledge of conflicts of interest and its related policies and procedures as it relates to monitored interactions.
• Demonstrate ability to apply S&P Global Code of Business Ethics, Ratings Code of Conduct and global compliance policies and regulations to the content and context of S&P Global Ratings' employees communications.
• Prepare summaries of facts for escalated cases and track case dispositions.
• Prepare management information reports and statistical charts.
• Assist in the administration and optimization of the electronic surveillance systems.
• Interpret or clarify technical information to aid understanding, and take advantage of training/development opportunities that arise.
• All employees must work from the office at least 2 days/week.

What We're Looking For Basic Qualifications

• A bachelor's degree.
• An S&P Global employee at this level would typically have at least three or more years of relevant professional experience in a financial services company or professional services provider.
• Experience in a Control Room, Compliance Monitoring or Surveillance group within a regulated financial institution.
• Understanding of regulatory obligations to protect nonpublic information from disclosure and misuse.
• Understanding of regulatory obligations to identify and manage conflicts of interest.
• Ability to communicate effectively and influence professionals across all levels of the organization globally.
• Final-stage candidates must attend one in-person interview at your nearest S&P Global Ratings office before offer.

Preferred Qualifications

• Working knowledge of credit markets and instruments.
• Understanding the role of rating agencies in the capital formation process and the impetus for a regulatory framework.
• Working knowledge of a language besides English.
• Experience with electronic mail surveillance.

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.

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 and your request will be forwarded to the appropriate person.

US Candidates Only: Know Your Rights: Workplace discrimination is illegal.