Compliance - Salt Lake City - Associate, Regulatory Compliance - 10072130
On-siteSalt Lake City, Utah, United States
Job Summary
Serve as a primary technical liaison, collaborating with business teams to provide daily operational support and address ad-hoc requests. Lead strategic planning for quarterly engineering activities, aligning technical initiatives with evolving regulatory requirements. Design, create, and manage Alteryx workflows to drive improvements in business process efficiency and automation. Produce metrics for management and divisional compliance reporting based on KPI/KRI requirements. Conduct investigations to identify policy breeches and assist in developing firm policy and controls to ensure compliance with global personal trading laws. Escalate situations to relevant divisional compliance officers and business unit managers. Draft written findings to articulate fact patterns, identify associated risks, and summarize remediation steps.
Required Qualifications
- Master's degree (U.S. or foreign equivalent) in Finance, Business, Computer Engineering, Computer Science, Information Technology, or a related field
- Bachelor's degree (U.S. or foreign equivalent) in Finance, Business, Computer Engineering, Computer Science, Information Technology, or a related field
- One (1) year or experience in the job offered or in a related role
- 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
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