Compliance Markets Surveillance Associate (Finance)

TL;DR

Compliance Markets Surveillance Associate (Finance): Managing and executing the firm’s trade surveillance program and market abuse risk assessments with an accent on detective controls and regulatory risk mitigation. Focus on designing detection criteria for market abuse behaviors, conducting RCSA, and collaborating with engineering and compliance teams to enhance automated surveillance.

Location: Salt Lake City, UT, United States

Company

A leading global investment banking, securities and investment management firm founded in 1869.

What you will do

• Lead divisional coordination of the Market Abuse Risk Assessment (MARA), updating and monitoring risk factors.
• Perform risk assessment analysis, documenting Inherent Risk, Control Suite, and Residual Risk rationales.
• Collaborate with Line Compliance and Engineering to define and improve automated surveillance scenarios and detection logic.
• Analyze business flows across Equities and Fixed Income to challenge and refine risk and control assumptions.
• Prepare detailed reports and presentations on risk findings for senior management and stakeholders.
• Conduct weekly, monthly, and quarterly management reporting to ensure consistent regional and product approaches.

Requirements

• Bachelor’s Degree required.
• Approximately 3 or more years of experience in financial services.
• Strong understanding of financial products.
• Analytical, interpersonal, and communication skills to work effectively with global regional offices.

Nice to have

• Experience with Risk and Control Self Assessments (RCSA) frameworks and processes.
• Strong academic background in quantitative fields such as mathematics, computer science, engineering or statistics.
• Excellent project management and organizational skills.
• Interest in compliance laws, rules, regulations, and market typologies.

Culture & Benefits

• Commitment to fostering diversity and inclusion in the workplace.
• Opportunities for professional and personal growth through training and development.
• Comprehensive wellness, personal finance offerings, and mindfulness programs.
• Access to firmwide networks and a collaborative global team environment.