Job Title: CW Analyst
Duration: 6 months
Location: Salt Lake City, UT
 
Summary:

• 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 reputational risk associated with a variety of matters; monitors for compliance with existing and new 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.
• Global Compliance Employee Services (GCES) is responsible for overseeing employee-related compliance matters such as licensing and registrations; employee disclosures; review and approval of employees' outside brokerage accounts; private investments, outside interests, and political contributions; and the pre-clearance process for employees' personal trading activities.
• This role will be part of the employee personal trading team with responsibilities listed below.

Principal Responsibilities:

• Work with employees to ensure all necessary personal trading details are provided to the firm to enable trade monitoring in accordance with regulatory requirements.
• Review employee requests to open and maintain personal brokerage accounts.
• Review employee trading activity for potential conflicts of interest, policy or regulatory violations.
• Conduct investigations to identify policy breeches.
• Assist in the development of firm policy to ensure compliance with global personal trading laws and regulations.
• Assist in the development of controls and system enhancements to improve the firm's compliance program.
• Escalate situations, as appropriate, to legal professionals, relevant divisional compliance officers and business unit managers.

Education:

• Bachelor's Degree Preferred.

Must Haves:

• Experience in personal trading compliance.
• Knowledge of regulatory requirements.
• Investigative skill.
• Strong attention to detail.
• Communication and escalation skills.

 

 


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: $20.00/hr.