S&P Global Junior Compliance Officer in Centennial, Colorado

The Role:

The Junior Compliance Officer candidate will support with the administration of policies and code of ethics compliance at S&P Global. The primary role of this position 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 Platts. The candidate will interact daily with employees at all levels of the organization and will also help to train employees on policies and procedures. The candidate will assist in the administration of periodic employee certifications and disclosures in accordance with policies and codes of ethics. The primary responsibilities are to review and analyze employee personal securities holdings and transactions. The candidate will work with systems and reports to identify violations of policies. They will work to inform and reeducate employees on the violations and provide guidance to enforce compliance with code of ethics.

The Location:

USA-CO-Centennial, 7400 South Alton Court

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.

The Career Opportunity:

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.

The Team:

The candidate 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. The team reviews and facilitated pre-clearance requests; and conducts daily and weekly reviews of reported personal trades of supported personnel. The team maintains a complete archive of reports and documentations. The team assists in responding to employee s questions regarding code of ethics policies and procedures. The team seeks to achieve efficiencies managing workflows and projects while maintaining compliance to policies and specific codes.

Your Skills:

We are seeking a candidate with excellent oral and written communication skills. We also require strong organizational, interpersonal and computer skills. We prefer an individual with a general understanding of the securities industry, with some knowledge of insider trading and personal securities trading rules and regulations.

Our 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 candidate should have a Bachelor Degree in Business or other relevant major. The candidate should have a strong knowledge of credit markets and understanding of financial regulation. 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 level within the organization.

Experience with the drafting and finalization of procedural documentation is beneficial. Some prior experience in a legal, compliance, audit or other operations function is desirable. 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.

About S&P Global

At S&P Global, we don t give you intelligencewe give you essential intelligence. The essential intelligence you need to make decisions with conviction. We re the world s foremost provider of ratings, benchmarks and analytics in the global capital and commodity markets. Our divisions include:

  • S&P Global Ratings, which provides credit ratings, research and insights essential to driving growth and transparency.

  • S&P Global Market Intelligence, which provides insights into companies, markets and data so that business and financial decisions can be made with conviction.

  • S&P Dow Jones Indices, the world s largest resource for iconic and innovative indices, which helps investors pinpoint global opportunities.

  • S&P Global Platts, which equips customers to identify and seize opportunities in energy and commodities, stimulating business growth and market transparency.

To all recruitment agencies:

S&P Global does not accept unsolicited agency resumes. Please do not forward such resumes to any S&P Global employee, office location or website. S&P Global will not be responsible for any fees related to such resumes.

S&P Global is an equal opportunity employer committed to making all employment decisions without regard to race - ethnicity, gender, pregnancy, gender identity or expression, color, creed, religion, national origin, age, disability, marital status (including domestic partnerships and civil unions), sexual orientation, military veteran status, unemployment status, or any other basis prohibited by federal, state or local 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.

The EEO is the Law Poster http://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf describes discrimination protections under federal law.