Associate, Control Room (Compliance)

TL;DR

Associate, Control Room (Compliance): Monitoring and restricting sales, trading, and research activities to ensure legal and regulatory compliance with an accent on managing material nonpublic information (MNPI) and information barriers. Focus on automating compliance metrics via Alteryx and integrating AI/LLMs into internal workflows.

Location: Onsite in Salt Lake City, UT, United States

Company

A leading global investment banking, securities, and investment management firm.

What you will do

• Monitor and restrict sales, trading, and research activities based on legal, regulatory, and policy considerations.
• Manage the flow of material nonpublic information (MNPI) and chaperone communications to maintain information barrier integrity.
• Generate weekly global performance metrics and analytics reports using Alteryx to automate workflows and enhance data accuracy.
• Maintain the Firm's Confidential Lists through interaction with Global Investment Banking and Asset Wealth Management divisions.
• Lead the Control Room Americas team by providing mentorship, onboarding, and continuous training.
• Drive the integration of AI and large language models (LLMs) into compliance workflows, focusing on prompt design and reporting automation.

Requirements

• Master’s degree with 1 year of experience OR Bachelor’s degree with 3 years of experience in Business Administration, Finance, Economics, or a related field.
• Must be based in Salt Lake City, UT.
• Advanced skills in data manipulation, statistical analysis, and executive-level reporting of compliance metrics.
• Comprehensive knowledge of investment banking operations, market structures, trading mechanisms, and financial instruments.
• Expertise in information barriers and global financial regulatory frameworks.
• Advanced Excel proficiency (macros, pivot tables, Power Query) and Alteryx Designer Core Certification.