Digital Communications Surveillance Jr. Analyst - Compliance & Risk

About the Role:

Grade Level (for internal use):

09

Digital Communications Surveillance Jr. Analyst - Compliance & Risk

The Location: Toronto

Grade (relevant for internal applicants only): 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 front-line support to business units 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 escalate potential compliance issues 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 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 of the electronic surveillance systems.  

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.

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 Spanish, French, Italian, Chinese, or Japanese.

Compensation/Benefits Information: (This section is only applicable to US candidates)

S&P Global states that the final base salary for this role will be based on the individual's geographic location, as well as experience level, skill set, training, licenses and certifications.

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, please click here (~~~) .

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 ~~~/ratings

What's In It For You?

Our Purpose:

Progress is not a self-starter. It requires a catalyst to be set in motion. Information, imagination, people, technology-the right combination can unlock possibility and change the world.

Our world is in transition and getting more complex by the day. We push past expected observations and seek out new levels of understanding so that we can help companies, governments and individuals make an impact on tomorrow. At S&P Global we transform data into Essential Intelligence®, pinpointing risks and opening possibilities. We Accelerate Progress.

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. We're constantly seeking new solutions that have progress in mind. Join us and help create the critical insights that truly make a difference.

Our Values:

Integrity, Discovery, Partnership

At S&P Global, we focus on Powering Global Markets. 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: ~~~

Diversity, Equity, and Inclusion at S&P Global:

At S&P Global, we believe diversity fuels creative insights, equity unlocks opportunity, and inclusion drives growth and innovation - Powering Global Markets. Our commitment centers on our global workforce, ensuring that our people are empowered to bring their whole selves to work. It doesn't stop there, we strive to better reflect and serve the communities in which we live and work, and advocate for greater opportunity for all.

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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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: The EEO is the Law Poster ~~~   describes discrimination protections under federal law.

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20 - Professional (EEO-2 Job Categories-United States of America), RSKMGT202.1 - Middle Professional Tier I (EEO Job Group)

Job ID: 306736

Posted On: 2024-10-08

Location: Toronto, Ontario, Canada