Job Title: GBM – Regulatory Due Diligence – Analyst
Duration: 11+ months
Location: Salt Lake City, UTYOUR IMPACT
Regulatory Due Diligence is looking for a self-starter to join our vibrant Salt Lake City team. The core workflow consists of team members working with a wide variety of individuals from the Institutional Sales, Compliance and Operations divisions to facilitate an excellent client onboarding experience and mitigate risks associated with the capture and documentation of related transactions.
As a member of the Client Onboarding organization, the individual will specialize in the review of documentation related to global financial regulatory obligations and the approval of new relationships for the global Institutional Franchise and Clearing businesses.
The individual will work directly with our internal partners, clients, and sales in a fast-paced environment with precision and accuracy. In addition, the individual will lead and motivate team members, work cross-functionally for process and procedure solutions, and to manage escalations.
This individual will also be involved in driving forward innovative solutions and collaborating with Technology. The ability to prioritize, meet deadlines and communicate to all levels of the organization is critical.HOW YOU WILL FULFILL YOUR POTENTIAL

• The Regulatory Due Diligence team conducts regulatory adherence checks for counterparties trading with client to ensure all parties meet its’ compliance obligations and other regulatory requirements.
• The work Regulatory Due Diligence performs is critical to support both new client onboardings as well as managing existing client maintenance/data quality.
• In this role, you will be expected to engage the Business, Compliance, Credit, Legal and Operations stakeholders to ensure effective onboarding of clients.
• You will need to be a quick learner and understand the regulatory environment, including multiple new regulations, to identify risk and escalate concerns while ensuring to protect the firm and the clients.
• You will be required to have the ability to prioritize, meet deadlines and communicate to all levels of the organization.
• Key to Regulatory Due Diligence team members’ success is the ability to use critical thinking to balance tight control requirements with the service demands of our internal clients
• Be involved in the execution of on-going projects initiatives including new regulatory requirements and new business markets

EducationSKILLS & EXPERIENCE WE’RE LOOKING FOR

• Bachelor’s degree
• Critical thinking / thought leadership / ability to suggest improvements and “hunt” for risk
• Service orientation, sense of urgency, ability to manage internal clients’ expectations, follow- through and professionalism
• Thrives in a teamwork environment, strong interpersonal skills
• Detail oriented
• Ability to multi-task and prioritize
• Strong verbal and written communication
• Technical expertise in Microsoft Office (Word, Excel, etc.) as well as proficiency with web-based applications
• Ability to collaborate with Legal & Compliance teams to create solutions for our clients

Preferred Qualifications
PREFERRED QUALIFICATIONS

• Candidate must be proactive, enthusiastic and team oriented
• Ability to remain composed under pressure
• Ability to prioritize and make decisions in a fast-paced environment

 
 
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.