3 часа назад
Compliance Division, Compliance Testing Group, Analyst / Associate, Salt Lake City (Financial Services)
Вакансия из Hirify Global, списка международных tech-компанийДля мэтча и отклика нужен Plus
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Compliance Testing Analyst / Associate (Financial Services): Conducting independent compliance testing across financial businesses and divisions with an accent on regulatory analysis, risk identification, and control assessment. Focus on designing testing methods, analyzing data, documenting findings, and escalating compliance, conduct, and reputational risks.
Location: Salt Lake City, Utah, United States
Company
is a global investment banking, securities, and investment management firm providing financial services to corporations, financial institutions, governments, and individuals.
What you will do
- Propose testing methods and execute plans agreed with the team leader.
- Gather data, perform analyses, and document testing results.
- Identify and escalate compliance, conduct, and reputational risks.
- Manage multiple reviews involving different stakeholders simultaneously.
- Communicate findings with Compliance and senior business management.
- Collaborate with colleagues across global locations to share findings and refine processes.
Requirements
- Bachelor’s degree.
- Broad knowledge of financial products, markets, laws, rules, and regulations, including FINRA and SEC rules.
- Excellent interviewing, presentation, written communication, time management, and analytical skills.
- Integrity, motivation, intellectual curiosity, and enthusiasm.
Nice to have
- Experience in compliance, auditing, compliance testing, controls testing, risk testing, legal, or regulatory and law enforcement work.
- Financial services experience at an investment manager, broker-dealer, law firm, accounting firm, or regulator.
- Familiarity with Business Intelligence and AI tools.
- Fluency in French, Portuguese, Spanish, German, Italian, Japanese, Korean, or Mandarin Chinese.
Culture & Benefits
- Work with colleagues from diverse academic and professional backgrounds.
- Access training and development opportunities and firmwide professional networks.
- Wellness, resilience, personal finance, and mindfulness programs.
- Supportive and collaborative work environment with reasonable accommodations available during recruitment.
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