Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, political science, and criminal justice. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.
RESPONSIBILITIES AND QUALIFICATIONS
Job Summary & Responsibilities
Private Wealth Management (“PWM”) Compliance is responsible for supervising the business to ensure compliance with regulations and firm policies as well as assist with the implementation of new regulations and new systems / processes. The team covers many of the businesses within PWM that are constantly growing and changing. We are looking for a team member who wants to be part of growing the business in new dimensions – someone who is equal part visionary and executor. At times, the role will require you to navigate and problem solve with multiple teams and stakeholders. We look to those who possess sound judgement, curiosity, and are able to adapt to a changing regulatory landscape.
As a contributor within PWM Compliance, a successful candidate will be responsible for supporting and organizing Compliance’s involvement in various projects and processes as well as being the key Compliance contact for certain working groups, business lines while developing subject matter expertise in regulations applicable to the business. Additionally, the role will involve working in collaboration with the broader compliance team in order to deliver high quality work products, reflecting attention to detail and analytical prowess.
PWM Compliance is seeking an experienced Associate to join our team based in Salt Lake City. In addition to the above, responsibilities may include:
Skills and Characteristics:
An ideal candidate should:
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