Compliance Control Room Associate (Finance)

TL;DR

Compliance Control Room Associate (Finance): Preserving the integrity of information barriers by monitoring confidential information flow between private and public side businesses with an accent on regulatory compliance and risk mitigation. Focus on maintaining confidential lists, reviewing research publications, and managing legal and policy restrictions for trading and research.

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

Company

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

What you will do

• Maintain the Firm's Confidential Lists by interacting with Investment Banking, Global Markets, and Asset Management divisions.
• Review research published by the Global Investment Research Division to ensure compliance with legal and regulatory obligations.
• Liaise with Legal and Compliance teams to monitor and restrict sales, trading, and research activities.
• Apply Research Settlement rules to facilitate communication between Equity Research and Investment Banking personnel.
• Collaborate with the Conflicts & Business Selection Group to approve transactions and manage subsequent risk activities.

Requirements

• Recent college or law school graduate.
• 1-6 years of compliance or legal-related experience in financial services.
• General understanding of the current regulatory environment, financial markets, and securities regulation.
• Excellent verbal and written communication skills.
• Ability to work effectively as a team member in a high-pressure, fast-paced environment.
• Must be located in Salt Lake City, UT, United States.

Culture & Benefits

• Commitment to fostering diversity and inclusion in the workplace.
• Professional and personal growth opportunities through training and development.
• Access to firmwide networks, wellness, and mindfulness programs.
• Comprehensive personal finance offerings and benefits.