Analyst, Compliance and Controls

26 Jun 2024

Vacancy expired!

The Role: Analyst, Compliance & ControlsThe Grade/Level: 9 (relevant for internal applicants only)The Location: Virtual - AZ, IL, IN, KY, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OHOur Hiring Manager says: We are seeking an individual that is highly motivated and organized. The candidate should be a self-starter; process oriented and possesses excellent time management skills. The candidate’s ability to effectively transition between individual contribution and team effort will be mandatory for success.The Team:You will join a team that globally supports compliance initiatives for employees covered by specific internal policies, codes of conduct, and codes of ethics in a high volume and constantly changing environment. The team:Supports certain businesses in tracking employee updates, outstanding certifications, and compliance requirements.

Reviews and facilitated pre-clearance requests; and conducts daily and weekly reviews of reported personal trades of supported personnel.

Maintains a complete archive of reports and documentations. The team assists in responding to employee’s questions regarding code of ethics policies and procedures.

Seeks to achieve efficiencies managing workflows and projects while maintaining compliance to policies and specific codes.

The Impact:S&P Global Policies and procedures outline prudent, ethical business practices within the construct of an evolving global regulatory environment.

The S&P Global policies help us protect our operational and reputational requirements while seeking to mitigate overall franchise risks.

There are currently 5,000 employees covered by the policies monitored by the Securities Disclosure team.

What's in it for You:The Compliance function seeks to facilitate compliance with internal policies, guidelines, and controls as well as regulatory requirements where applicable. Compliance also serves as the central point of contact for the examiners.

We are seeking a motivated individual that is interested in an entry level position in Securities Disclosure Compliance, with an aspiration to cross train and add value to the greater compliance team.

Responsibilities:You will support with the administration of policies and code of ethics compliance at S&P Global.

Your primary role will be to gather, input and analyze personal securities trading activities information and other documentation to monitor employee’s compliance with specific policies and codes for S&P Global, S&P Global Ratings, S&P Global Market Intelligence, S&P Dow Jones Indices and S&P Global Commodity Insights.

You will interact daily with employees at all levels of the organization and will also help to train employees on policies and procedures.

You will assist in the administration of periodic employee certifications and disclosures in accordance with policies and codes of ethics.

You will review and analyze employee personal securities holdings and transactions.

You will work with systems and reports to identify violations of policies.

You will work to inform and reeducate employees on the violations and provide guidance to enforce compliance with code of ethics.

What We're Looking For:The candidate should have a bachelor’s degree. They will benefit from having a strong process background identifying and addressing exceptions/issues. They shall have an interest in global work and able to work effectively with individuals of diverse cultural backgrounds. We are seeking a good communicator with the ability to influence and challenge across all levels within the organization.

Experience with the drafting and finalization of procedural documentation is beneficial. The candidate will possess sound decision-making ability and an understanding of risk. The candidate shall be a self-starter with good judgment.

The candidate will benefit from being highly proficient in Microsoft applications including MS Word, Excel, and PowerPoint. A proficiency in web navigation and applications including Internet Explorer, Google Chrome and Firefox is preferred as well.

Compensation/Benefits Information (US Applicants Only):S&P Global states that the anticipated base salary range for this position is $58,300 to $133,100. Base salary ranges may vary by geographic location.In addition to base compensation, this role is eligible for an annual incentive plan.This role is eligible to receive additional S&P Global benefits. For more information on the benefits we provide to our employees, visit link https://spgbenefits.com/benefit-summaries/usAbout Company:S&P Global delivers essential intelligence that powers decision making. We provide the world’s leading organizations with the right data, connected technologies and expertise they need to move ahead. As part of our team, you’ll help solve complex challenges that equip businesses, governments and individuals with the knowledge to adapt to a changing economic landscape.S&P Global Market Intelligence partners with customers to broaden their perspective and operate with confidence by bringing them leading data sources and technologies that embed insight in their daily work.S&P Global Ratings offers critical insights for credit, risk and sustainable financesolutions that are essential to translating complexity into clarity, so market participantscan uncover opportunities.S&P Global Commodity Insights enables organizations to create long-term, sustainable value with data and insights for a complete view on the global energy and commodities markets.S&P Dow Jones Indices provides iconic and innovative index solutions, bringing transparency to global capital markets.Equal Opportunity EmployerS&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. US Candidates Only: The EEO is the Law Poster http://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf  describes discrimination protections under federal law.20 - Professional (EEO-2 Job Categories-United States of America), RSKMGT202.1 - Middle Professional Tier I (EEO Job Group)Posted On: 2022-06-26Location: Virtual, Virginia, United States

Full-time
  • ID: #43633780
  • State: Arizona Virtual 00000 Virtual USA
  • City: Virtual
  • Salary: USD TBD TBD
  • Showed: 2022-06-26
  • Deadline: 2022-08-25
  • Category: Et cetera