Associate, Control Room (Compliance)

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

Company

hirify.global is a financial services firm with a Compliance Division.

What you will do

• Monitor the receipt and possession of material non-public information across private- and public-side businesses.
• Work with deal teams to assess the impact of active deals on tradable financial instruments using financial calculations and company strategies.
• Maintain internal database logs, notes, and summaries for active deals involving material non-public information.
• Maintain Confidential Lists and review transactions for legal and policy restrictions on securities sales, trading, and research activity.
• Review investment research drafts, financial models, and proposed securities transactions to advise on whether publication or activity is permissible.
• Apply Global Research Settlement rules and Firm policies, monitor communications, and facilitate transaction approvals and risk management activities.

Requirements

• Master’s degree in Finance, Economics, or a related field and one year of experience in the offered role or a related role, or Bachelor’s degree in Finance, Economics, or a related field and three years of experience in the offered role or a related role.
• One year of relevant experience with a Master’s degree or three years with a Bachelor’s degree working with business-side stakeholders to comply with internal policies and procedures, including information barriers.
• Experience applying a risk management framework to identify, assess, and mitigate financial and operational risk arising from trading.
• Experience responding to regulator and internal-team inquiries about policies, procedures, and transaction history.
• Ability to manage multiple tasks, meet deadlines, and escalate appropriately in a fast-paced environment.
• Experience identifying and managing conflicts of interest with internal desks.

Culture & Benefits

• Full-time onsite role in the Salt Lake City office.
• Equal opportunity employment and nondiscrimination across legally protected characteristics.