Title:GBM- Regulatory Due Diligence - Operations - Analyst
Duration: 6 months
Location: Salt Lake City , UT 84101 

Summary:

• Regulatory Due Diligence is required to conduct regulatory adherence checks for counterparties trading with to ensure all parties meet its’ compliance obligations and other regulatory requirements. 
• Regulatory Due Diligence supports both new client onboardings as well as managing existing client maintenance/data quality. 
• The team coordinates with Legal, Compliance, Engineering, and other Client Onboarding teams to assist in the rollout of any new regulations or any updates/changes to existing regulations. 
• The Regulatory Due Diligence team is a key part of the Client Onboarding. 
• Regulatory Due Diligence is a global team with members sitting in Bengaluru, Warsaw and Salt Lake City.
• The Regulatory Due Diligence team supports onboarding new clients and maintenance and data quality management of existing clients within the Global Banking & Markets Division.
• The team manages key relationships for the firm and assists in the coordination of regulatory compliance checks.
• The Regulatory Due Diligence team is a key part of the Client Onboarding team within Global Banking & Markets Operations.
• The team is required to conduct regulatory adherence checks for to meet its compliance obligations and other regulatory requirements.
• The Warsaw team covers the Franchise and Clearing businesses overseeing operations primarily for prime brokerage, futures, and derivatives services.
• Having a working knowledge of the operational flow of a wide variety of products is an asset.
• The team also works closely with Technology to design new system enhancements to improve efficiencies and controls, and with Compliance to define and implement firm policies and controls.

Must Haves:

• Bachelor's Degree.

 

 


At SPECTRAFORCE, we are committed to maintaining a workplace that ensures fair compensation and wage transparency in adherence with all applicable state and local laws. This position’s starting pay is: $23.00/hr.