Regulatory Compliance Associate (Fintech)

TL;DR

Regulatory Compliance Associate (Fintech): Serving as a primary technical liaison to ensure operational support and regulatory adherence with an accent on process automation and trade monitoring. Focus on designing Alteryx workflows, conducting policy investigations, and reporting metrics to senior stakeholders.

Location: Must be based in Salt Lake City, UT, United States

Company

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

What you will do

• Collaborate with business teams to provide daily operational support and address ad-hoc regulatory requests.
• Lead strategic planning for quarterly engineering activities to align with evolving regulatory requirements.
• Design, create, and manage Alteryx workflows to drive business process efficiency and automation.
• Produce metrics for management and divisional compliance reporting based on KPI/KRI requirements.
• Conduct investigations to identify policy breaches and assist in the development of firm-wide controls.
• Ensure personal trading details are provided to the firm to enable effective trade monitoring.

Requirements

• Master’s degree with 1 year of experience OR Bachelor’s degree with 3 years of experience in Finance, Business, Computer Engineering, or related fields.
• Understanding of the current regulatory environment and financial markets, specifically personal trading and disclosure requirements.
• Proven experience utilizing Alteryx or Tableau to develop workflows for automation and efficiency.
• Ability to present findings to senior stakeholders and draft written reports on risk and remediation.
• Strong analytical, organizational, and project management skills to track business requirements and support UAT.

Culture & Benefits

• Opportunity to work within a major global financial institution.
• Exposure to high-level regulatory compliance and risk management strategies.
• Professional development in a collaborative, cross-functional environment.
• Equal opportunity employer committed to a diverse and inclusive workplace.