Compliance Officer

3 weeks ago

New York City, United States S&P Global (North America) Full time

he Role: Compliance Officer – Control Room                                                         

The Team: Control Room is part of the Compliance Monitoring and Exams part of S&P Global Ratings Compliance.  Its members apply standardized monitoring and surveillance protocols to help mitigate compliance, regulatory and reputational risk; prevent or manage conflict of interests; help Ratings Division protect information collected or generated as part of its credit rating activities.  Control Room helps preserve ethical firewalls designed to manage conflicts of interests between different groups within the firm.  Members of the Control Room team ensure that communications across ethical firewalls are conducted in accordance with principles set forth in the firm’s code of business ethics, policies and operating procedures.

The Impact: As a Compliance Officer in the Control Room you will be part of a global team tasked with overseeing controls designed to mitigate conflicts of interest and protect confidential information.  You will act as a gatekeeper and a chaperone monitoring interactions between the restricted groups of employees. You will identify and escalate potential compliance issues arising out of monitored interactions. You will interact with Credit Issuers and Regulators in preparations of Insider Lists when required. You will be involved in analyzing data generated by Control Room’s monitoring activities and derive insights and risk indicators with the help of business intelligence tools.  

This role provides an opportunity to make a significant and visible contribution to the team’s and compliance department’s effort.  Exposure to compliance risk and controls management and regulatory technology. A great opportunity to acquire and apply data analytics and business intelligence skills.

Responsibilities: As a Control Room Compliance Officer, you will be expected to

Monitor communications between restricted groups of employees, act as a gatekeeper and a chaperone where necessary.

 

Conduct activities relating 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 of relevant risk indicators and assist in identifying and remediating emerging compliance risks.

 

What We’re Looking For: We are looking for a self-starter with excellent work ethic and superb attention to detail.  Someone who has a strong interest in compliance risk management in the context of the global financial regulatory framework. A team player with excellent interpersonal and communication skills with the ability to influence and challenge across all level within the organization. 

 

Good understanding of credit markets and the role of rating agencies in the capital formation process.

 

Good understanding of the nature of conflicts of interest in the context of investment research or credit rating analysis.

 

Good understanding of the nature of protection of information, in particular managing confidential and material non-public information

 

Good understanding of the US and the EU financial regulation framework.  

 

Some understanding of operational or compliance risk management process.

 

Excellent excel and power-point skills.

 

Qualifications:

 

A bachelor’s degree supplemented by (1) or more years of professional experience in Research or Capital Markets Compliance, Internal Audit, or Operational Risk Management or similar fields, or an advanced degree in Finance or Law. 

 

Ideal candidate will have (3) or more years of professional experience in the field of Control Room Compliance, Compliance Monitoring or Surveillance from an Investment Bank, Investment Advisor or a Credit Rating Agency.

 

Good MS Excel, MS PowerPoint skills. 

 

  • Compliance Consultancy Director

    4 weeks ago

    New York, New York, United States Compliance Recruitment Solutions Full time

    Compliance Consultancy Director - Previous Compliance Funds Experience and 1940 Act/NFA/CFTC Knowledge Required Ref: 4015G3 $200K - $220K + Bonus + Benefits New York City Our Client, a growing and dynamic regulatory consulting firm based in New York and London, are looking to hire an experienced compliance professional to join their New York Regulatory...

  • Compliance Officer

    3 weeks ago

    New York, United States Guggenheim Partners Full time

    Will include conducting beneficial owner and control person due diligence on participants in transactions as well as assisting with GPIM client and collective investment vehicle investor AML/ KYC on-boarding. The Compliance Officer is located in our Compliance Officer, Officer, Compliance, Investment, Asset Manager, Banking

  • Compliance Officer

    1 week ago

    New York, United States SCHONFELD STRATEGIC ADVISORS LLC Full time

    The Role We are seeking to hire an exceptional Compliance Officer to join our compliance team in our New York City office. The Compliance Officer will report into the Deputy Chief Compliance Officer and will lead the Risk Review, Monitoring and Exams (RRME) team in support of the overall global Compliance function. The position is responsible for managing...

  • Compliance Officer, Trading Compliance

    3 weeks ago

    New York, United States Balyasny Asset Management L.P. Full time

    LoadingSorry to interruptCSS Error Compliance Officer, Trading Compliance LocationNew York PostedPosted 52 Days Ago CodeREQ5643 Balyasny Asset Management is seeking an experienced Compliance Officer for its New York office. The employee will report to a Senior Compliance Officer and will work closely with both the Compliance and Legal Departments....

  • Compliance Officer

    2 weeks ago

    New York, United States Schonfeld Full time

    The Role We are seeking to hire an exceptional Compliance Officer to join our compliance team in our New York City office. The Compliance Officer will report into the Deputy Chief Compliance Officer and will lead the Risk Review, Monitoring and Exams (RRME) team in support of the overall global Compliance function. The position is responsible for managing...

  • Compliance Officer

    5 days ago

    New York, United States Cardea Group Full time

    Compliance Officer (New York, NY): The chance to join a thriving private equity fund in a #2 capacity is here. If you are an ambitious, intelligent, and curious compliance professional seeking the mentorship of an exceptionally bright, talented, and KIND GC & CCO, please read on. Our client, a private equity firm with tremendous prospects and growth...

  • Compliance Officer

    4 days ago

    New York, United States Cardea Group Full time

    Compliance Officer (New York, NY): The chance to join a thriving private equity fund in a #2 capacity is here. If you are an ambitious, intelligent, and curious compliance professional seeking the mentorship of an exceptionally bright, talented, and KIND GC & CCO, please read on. Our client, a private equity firm with tremendous prospects and growth...

  • Compliance Officer

    1 month ago

    New York, United States Piermont Bank Full time

    **About Us**: **The Role**: The Compliance Officer is responsible for all aspects of the consumer compliance program to ensure Piermont Bank adheres to applicable laws, regulations, and in-house policies and procedures while keeping abreast of all regulatory developments and requirements. **Responsibilities**: - Oversight and completion of all annual...

  • Compliance Officer

    4 days ago

    New York, New York, United States S&P Global Full time

    About the Role:Grade Level (for internal use):12The Role: Compliance OfficerThe Compliance Officer role is based in Englewood or New York and the successful candidate will be responsible for supporting the implementation and monitoring of the Compliance Program primarily for S&P Global Ratings in North America. The role involves a range of activities,...

  • Compliance Officer

    3 weeks ago

    New York, United States Guggenheim Partners Full time

    Position Summary Guggenheim Investments is seeking an exceptional Compliance Officer to join its team. Reporting to the Head of Anti-Money Laundering of Guggenheim Partners Investment Management, LLC (GPIM), an SEC-registered investment advisor. This person will join a highly collaborative team responsible for Anti-Money Laundering (AML), Know Your Customer...

  • Compliance Officer

    1 day ago

    New York, United States Piermont Bank Full time

    About Us: Piermont Bank is a tech-enabled digital commercial bank founded in 2019 with a mission of changing the face and pace of banking. It provides an unprecedented experience that blends the best of banking and agile Fintechs. At Piermont, we are purpose-driven, and focused on creating and delivering banking products relevant to today's digital economy....

  • Compliance Officer

    3 days ago

    New York, United States Guggenheim Partners Full time

    Position Summary Guggenheim Investments is seeking an exceptional Compliance Officer to join its team. Reporting to the Head of Anti-Money Laundering of Guggenheim Partners Investment Management, LLC (GPIM), an SEC-registered investment advisor. This person will join a highly collaborative team responsible for Anti-Money Laundering (AML), Know Your Customer...

  • Compliance Officer

    3 weeks ago

    New York, United States Golub Capital Full time

    Position Information Hiring Manager: Deputy General Counsel Department: Legal & Compliance Department Overview The Legal & Compliance Department is responsible for managing legal risk and providing legal counsel for each of the Firm's functions. The Legal & Compliance Department also manages the Firm's regulatory profile under relevant securities laws....

  • Senior Compliance Officer

    1 week ago

    New York, United States Bloomberg L.P. Full time

    Trade / Export Control - Legal & Compliance. New York, NY - Posted May 17, 2024 - Requisition No. 125360 The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while keeping up Compliance Officer, Compliance, Officer, Operations, Senior, Trade

  • Senior Compliance Officer

    3 weeks ago

    New York, United States Bloomberg L.P. Full time

    Bloomberg Tradebook - Legal & Compliance. New York, NY - Posted Apr 26, 2024 - Requisition No. 124879 The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while keeping up the Compliance Officer, Compliance, Officer, Senior, Regulatory, Project Management, Technology

  • Senior Compliance Officer

    5 days ago

    New York, United States Cardea Group Full time

    Deputy Chief Compliance Officer (New York, NY): Our client, a hybrid fund with over $7 billion in AUM and several international offices, is looking to hire a Deputy Chief Compliance Officer to join their Global Compliance team based in New York. This position will report directly to the firm’s Global CCO focusing on the general management, implementation...

  • Senior Compliance Officer

    4 days ago

    New York, United States Cardea Group Full time

    Deputy Chief Compliance Officer (New York, NY): Our client, a hybrid fund with over $7 billion in AUM and several international offices, is looking to hire a Deputy Chief Compliance Officer to join their Global Compliance team based in New York. This position will report directly to the firm’s Global CCO focusing on the general management, implementation...

  • Senior Compliance Officer

    3 hours ago

    New York, United States Cardea Group Full time

    Deputy Chief Compliance Officer (New York, NY): Our client, a hybrid fund with over $7 billion in AUM and several international offices, is looking to hire a Deputy Chief Compliance Officer to join their Global Compliance team based in New York. This position will report directly to the firms Global CCO focusing on the general management, implementation and...

  • Compliance Officer and Counsel

    1 day ago

    New York, United States Assured Guaranty Full time

    Position Summary Assured Guaranty is seeking to hire a compliance lawyer in the New York office to provide compliance, governance and legal support to the Chief Compliance Officer primarily in respect of Assured Guaranty Ltd. and its US and Bermuda insurance subsidiaries. Position Description Responsible for overall support of Assured Guaranty's compliance...

  • Senior Compliance Officer

    4 days ago

    New York, United States Annaly Capital Management Inc Full time

    Role Summary/Purpose The Company is looking for a dedicated compliance professional to join its legal and compliance team. The Senior Compliance Officer will report directly to Annaly's Deputy General Counsel and Chief Compliance Officer and will have exposure to the full gamut of compliance responsibilities with a focus on ACOM's compliance program and...