GBM Regulatory Due Diligence Analyst

Job Title: GBM - Regulatory Due Diligence - Analyst

Duration: 11+ months

Location: Salt Lake City, UT

YOUR IMPACT

Regulatory Due Diligence is looking for a self-starter to join our vibrant Salt Lake City team. The core workflow consists of team members working with a wide variety of individuals from the Institutional Sales, Compliance and Operations divisions to facilitate an excellent client onboarding experience and mitigate risks associated with the capture and documentation of related transactions.

As a member of the Client Onboarding organization, the individual will specialize in the review of documentation related to global financial regulatory obligations and the approval of new relationships for the global Institutional Franchise and Clearing businesses.

The individual will work directly with our internal partners, clients, and sales in a fast-paced environment with precision and accuracy. In addition, the individual will lead and motivate team members, work cross-functionally for process and procedure solutions, and to manage escalations.

This individual will also be involved in driving forward innovative solutions and collaborating with Technology. The ability to prioritize, meet deadlines and communicate to all levels of the organization is critical.

HOW YOU WILL FULFILL YOUR POTENTIAL

The Regulatory Due Diligence team conducts regulatory adherence checks for counterparties trading with client to ensure all parties meet its' compliance obligations and other regulatory requirements.

The work Regulatory Due Diligence performs is critical to support both new client onboardings as well as managing existing client maintenance/data quality.

In this role, you will be expected to engage the Business, Compliance, Credit, Legal and Operations stakeholders to ensure effective onboarding of clients.

You will need to be a quick learner and understand the regulatory environment, including multiple new regulations, to identify risk and escalate concerns while ensuring to protect the firm and the clients.

You will be required to have the ability to prioritize, meet deadlines and communicate to all levels of the organization.

Key to Regulatory Due Diligence team members' success is the ability to use critical thinking to balance tight control requirements with the service demands of our internal clients

Be involved in the execution of on-going projects initiatives including new regulatory requirements and new business markets

Education

SKILLS & EXPERIENCE WE'RE LOOKING FOR

Bachelor's degree

Critical thinking / thought leadership / ability to suggest improvements and hunt for risk

Service orientation, sense of urgency, ability to manage internal clients' expectations, follow- through and professionalism

Thrives in a teamwork environment, strong interpersonal skills

Detail oriented

Ability to multi-task and prioritize

Strong verbal and written communication

Technical expertise in Microsoft Office (Word, Excel, etc.) as well as proficiency with web-based applications

Ability to collaborate with Legal & Compliance teams to create solutions for our clients

Preferred Qualifications

PREFERRED QUALIFICATIONS

Candidate must be proactive, enthusiastic and team oriented

Ability to remain composed under pressure

Ability to prioritize and make decisions in a fast-paced environment

Applicant Notices & Disclaimers

For information on benefits, equal opportunity employment, and location-specific applicant notices, click here

At SPECTRAFORCE, we are committed to maintaining a workplace that ensures fair compensation and wage transparency in adherence with all applicable state and local laws. This position's starting pay is: $23.00/hr.