Compliance, GBM Public, Swap Dealer Compliance, Associate, Salt Lake City (Fintech)

Location: Salt Lake City, Utah, United States; onsite office role

Company

hirify.global is a global investment banking, securities, and investment management firm founded in 1869, with offices around the world.

What you will do

• Advise on and implement enhancements to the Swap Dealer Compliance Program, including policies and procedures.
• Respond to regulatory inquiries, audits, examinations, and investigations involving the SEC, CFTC, and NFA.
• Develop management reporting, CCO annual reports, metrics, governance materials, and risk assessments.
• Advise business stakeholders on swap data reporting, business conduct, margin, and other swap dealer requirements.
• Develop monitoring, testing, and training programs while supporting remediation of non-compliance issues.
• Collaborate with Global Banking and Markets, Legal, Operations, Engineering, Risk, Finance, Audit, and Compliance teams.

Requirements

• 4–8 years of experience with CFTC, SEC, and NFA swap dealer regulations.
• Experience writing and implementing policies, procedures, management information, and reports.
• Experience monitoring and testing compliance programs, with strong analytical skills and attention to detail.
• Strong interpersonal, written, and verbal communication skills, including experience delivering training.
• Proficiency in Excel, PowerPoint, and Microsoft Office.
• Bachelor’s degree in a relevant field; JD preferred but not required.

Culture & Benefits

• Independent compliance function operating as part of the firm’s second line of defense.
• Professional development through training and firmwide networks.
• Access to benefits, wellness, personal finance offerings, and mindfulness programs.
• Inclusive workplace with opportunities for professional and personal growth.