Compliance - Salt Lake City - Associate, Regulatory Compliance - 10072130
About The Position
Serve as a primary technical liaison, collaborating directly with multiple business teams to provide daily operational support, and address ad-hoc requests, ensuring seamless business operations. Lead strategic planning for quarterly engineering activities, aligning technical initiatives with evolving regulatory requirements and business objectives. Escalate situations to relevant divisional compliance officers and business unit managers. Drive significant improvements in business process efficiency and automation through the design, creation, and management of Alteryx workflows. Produce metrics for management and divisional compliance reporting based on KPI/KRI requirements. Work with employees to ensure all necessary personal trading details are provided to the firm to enable trade monitoring in accordance with regulatory requirements. Conduct investigations to identify policy breeches. Assist in the development of firm policy to ensure compliance with global personal trading laws and regulations. Assist in the development of controls and system enhancements to improve the firm’s compliance program.
Requirements
- Master’s degree (U.S. or foreign equivalent) in Finance, Business, Computer Engineering, Computer Science, Information Technology, or a related field and one (1) year or experience in the job offered or in a related role OR Bachelor’s degree (U.S. or foreign equivalent) in Finance, Business, Computer Engineering, Computer Science, Information Technology, or a related field and three (3) years of experience in the job offered or in a related role.
- Understanding of the current regulatory environment and financial markets, including personal trading and disclosure requirements.
- Utilizing Alteryx or Tableau to develop workflows that increase automation and efficiency across business processes.
- Working with internal stakeholders to ensure regulatory requirements are met and compliance processes and systems operate effectively and are properly maintained.
- Orally presenting findings to senior stakeholders in the areas being reviewed, including clearly articulating the fact-patterns, risk(s), and potential next steps for remediation.
- Drafting written findings to articulate fact patterns, identify associated risks, and summarize remediation steps.
- Utilizing analytical, organizational, and project management skills to track and document business requirements, ensure milestone delivery, support User Acceptance Testing (UAT), and coordinate final product delivery.
Responsibilities
- Serve as a primary technical liaison, collaborating directly with multiple business teams to provide daily operational support, and address ad-hoc requests, ensuring seamless business operations.
- Lead strategic planning for quarterly engineering activities, aligning technical initiatives with evolving regulatory requirements and business objectives.
- Escalate situations to relevant divisional compliance officers and business unit managers.
- Drive significant improvements in business process efficiency and automation through the design, creation, and management of Alteryx workflows.
- Produce metrics for management and divisional compliance reporting based on KPI/KRI requirements.
- Work with employees to ensure all necessary personal trading details are provided to the firm to enable trade monitoring in accordance with regulatory requirements.
- Conduct investigations to identify policy breeches.
- Assist in the development of firm policy to ensure compliance with global personal trading laws and regulations.
- Assist in the development of controls and system enhancements to improve the firm’s compliance program.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
