Compliance Officer - Control Room
S&P Global, Inc., Boulder, CO, United States
About the Role:
Grade Level (for internal use): 10
The Team
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.
What You Stand to Gain
Exposure to global compliance risk management, regulatory frameworks, and regulatory technology.
Opportunities to develop analytical and reporting capabilities using business intelligence tools.
Experience applying compliance controls that directly support Ratings’ regulatory obligations and reputational risk mitigation.
Growth in communicating complex regulatory concepts to stakeholders across functions and levels.
The Impact and Responsibilities
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.
Compensation/Benefits Information (US)
Anticipated base salary range: 84,000 USD to 105,000 USD. Final base salary will be based on geographic location, experience level, skill set, training, licenses, and certifications.
Compensation/Benefits Information (Canada)
Anticipated range of compensation: 75,000 CAD to 94,000 CAD. Final compensation will be based on performance, geographic location, experience level, skill set, training, licenses, and certifications.
Basic Required Qualifications
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.
Ability to engage with and influence peers and immediate leadership.
Active listening and ability to communicate complex information clearly.
Demonstrated resilience and ability to remain focused when navigating challenges.
All candidates who reach the final stage of our interview process must attend at least one in‑person interview at the nearest S&P Global Ratings office before an offer can be made.
US Right to Work Requirements
This role is limited to persons with an indefinite right to work in the United States.
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.
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Grade Level (for internal use): 10
The Team
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.
What You Stand to Gain
Exposure to global compliance risk management, regulatory frameworks, and regulatory technology.
Opportunities to develop analytical and reporting capabilities using business intelligence tools.
Experience applying compliance controls that directly support Ratings’ regulatory obligations and reputational risk mitigation.
Growth in communicating complex regulatory concepts to stakeholders across functions and levels.
The Impact and Responsibilities
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.
Compensation/Benefits Information (US)
Anticipated base salary range: 84,000 USD to 105,000 USD. Final base salary will be based on geographic location, experience level, skill set, training, licenses, and certifications.
Compensation/Benefits Information (Canada)
Anticipated range of compensation: 75,000 CAD to 94,000 CAD. Final compensation will be based on performance, geographic location, experience level, skill set, training, licenses, and certifications.
Basic Required Qualifications
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.
Ability to engage with and influence peers and immediate leadership.
Active listening and ability to communicate complex information clearly.
Demonstrated resilience and ability to remain focused when navigating challenges.
All candidates who reach the final stage of our interview process must attend at least one in‑person interview at the nearest S&P Global Ratings office before an offer can be made.
US Right to Work Requirements
This role is limited to persons with an indefinite right to work in the United States.
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.
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