Compliance-Salt Lake City-Associate-Control Room

Candidate Experience Site - Lateral • Salt Lake City, UT

127d

About The Position

Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

Requirements

• A postgraduate in MBA (Finance), or a graduate from any college/university who have passed CFA Level 1 or higher.
• Minimum 3 years of experience working in financial servicing firms like investment bank, broker-dealer, PE/VC or similar buy side/sell side firms.
• Strong understanding of financial markets and functions of a full-service Investment Banking firm.
• Proficient in using Microsoft Office products, tools, excellent verbal and written communication skills.
• Ability to work as a member of a team in a high-pressure, fast-paced environment.

Nice To Haves

• Relevant work experience in the Control Room and/or private side compliance.
• Experience in managing insider trading risk and/or experience in regulations securities laws including SEC Reg M, SEC Rules 14e-5, 144A and Reg D.
• Experience in automation and analytics tools, Alteryx Core designer certified or Tableau/SQL certified or equivalent Data Analytics certificates.

Responsibilities

• Interacting with the Investment Banking, Global Markets and Asset Management Divisions to maintain the Firm's Confidential Lists
• Reviewing research published by the Global Investment Research Division to ensure compliance with certain legal and regulatory obligations
• Liaising with Legal and other areas of Compliance to monitor and/or restrict sales, trading and/or research activities pursuant to certain legal, regulatory and/or policy considerations
• Applying the Research Settlement rules to facilitate communications between Equity Research and Investment Banking personnel
• Working with the Conflicts & Business Selection Group to facilitate approval for certain Firm and client transactions and subsequent risk management activities

What This Job Offers

• Education Level: Master's degree
• Number of Employees: 11-50 employees