Compliance Division, Compliance Testing Group, Associate, Salt Lake City
About The Position
The Compliance Testing Group (CTG) is seeking an individual who is a self-starter, exhibiting energy, curiosity, and enthusiasm to conduct investigative work across various firm businesses and divisions. The primary goal of CTG is to develop and execute detailed testing to ensure adherence to regulations and firm policies. This involves collaborating closely with Compliance and business management to identify compliance, conduct, and reputational risks, and subsequently refining firm controls. The CTG global team operates in locations including Dallas, New York, Salt Lake City, London, Warsaw, Tokyo, Singapore, and Hong Kong, and is composed of individuals with diverse backgrounds and experiences such as former auditors, accountants, regulators, compliance professionals, lawyers, and traders. The selected individual will work closely with Compliance and business management.
Requirements
- Bachelor’s Degree
- Broad knowledge of financial products and markets, as well as laws, rules and regulations, such as FINRA and SEC rules
- Excellent interview, presentation, written communication, time management, and analytical skills
- Integrity, motivation, intellectual curiosity, and enthusiasm
Nice To Haves
- Compliance, auditing, testing (i.e., Compliance testing, controls testing, risk testing), legal, or regulatory/law enforcement experience
- Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, or regulator
- Familiarity with Business Intelligence and AI tools
- Fluency in French, Portuguese, Spanish, German, Italian, Portuguese, Japanese, Korean, or Mandarin Chinese a plus
Responsibilities
- Propose methods of testing and execute plans discussed and agreed with a team leader
- Gather data, perform analyses, and document results
- Identify potential compliance, conduct, and reputational risks, and effectively escalate to appropriate individuals
- Multi-task work on several different reviews with different individuals at the same time
- Leverage strong communication skills to interact with Compliance and business senior management
- Team with colleagues around the globe to share findings and refine processes
Benefits
- training and development opportunities
- firmwide networks
- benefits
- wellness and personal finance offerings
- mindfulness programs
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
