Solution Owner overseeing Trackwise systems for regulatory and quality solutions at Convatec. Balancing technical expertise with strategic vision to optimize processes and maintain system integrity.
SG
Hybrid Digital Communications Surveillance, Junior Analyst – Compliance & Risk
Posted 3 hours ago
About the role
- Digital Communications Surveillance Analyst at S&P Global Ratings monitoring electronic communications for regulatory compliance. Collaborating with global teams and identifying potential compliance issues.
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 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.
Requirements
- A bachelor’s degree.
- 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.
- 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.
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.
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