Global Banking - Salt Lake City, United States - Spectraforce Technologies
![Default job background](https://contents.bebee.com/public/img/bg-user-ex-1.jpg)
Description
Title:
Global Banking & Markets - Operations - Regulatory Due Diligence - Analyst
Location:
Salt Lake City, Utah
Duration:
6 Months
Duties:
TEAM OVERVIEW
Regulatory Due Diligence is required to conduct regulatory adherence checks for counterparties trading with Client to ensure all parties meet its' compliance obligations and other regulatory requirements.
The team coordinates with Legal, Compliance, Engineering, and other Client Onboarding teams to assist in the rollout of any new regulations or any updates/changes to existing regulations.
The Salt Lake City team focuses on multiple regulations: Dodd-Frank regulations set out by the Commodity Futures Trading Commission (CFTC), SEC (Securities & Exchange Commission) regulations including as SEC SBS & the Municipal Adviser Rule, Americas regulations including Qualified Financial Contracts (QFC) and Ownership and Control Reporting (OCR), and regulations set out by European regulators such as the European Market Infrastructure Regulation (EMIR) and Bank Recovery and Resolution Directive (BRRD).
YOUR IMPACT
Our Salt Lake City Regulatory Due Diligence team is seeking an energetic and detail-oriented professional who is looking to work 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, including Sales, Legal and Compliance is critical.
OUR IMPACT
The Regulatory Due Diligence team supports onboarding new clients and maintenance and data quality management of existing clients within the Global Banking & Markets Division.
The Regulatory Due Diligence team is a key part of the Client Onboarding team within Global Banking & Markets Operations.
The team is required to conduct regulatory adherence checks for Client to meet its compliance obligations and other regulatory requirements.
The team also works closely with Technology to design new system enhancements to improve efficiencies and controls, and with Compliance to define and implement firm policies and controls.
Skills:
SKILLS AND EXPERIENCE WE'RE LOOKING FOR
Excellent communication skills, both written and oral
Confidence to engage professionally and persuasively with clients and senior figures within the firm
Ability to think critically and apply thought leadership
Self-motivated and proactive team player who takes ownership and accountability of projects
Aptitude for building relationships and ability to communicate complex issues to a wide array of internal clients with differing levels of product experience
Experience in liaising with clients both internally and externally on a global basis
Proven analytical skills, problem solving ability, and a control mentality paired with meticulous attention to detail
Thrives in a teamwork-oriented environment and works well under pressure
Excellent organizational skills to work in a dynamic environment with changing requirements
Aptitude to manage clients' expectations and follow-through with professionalism
Technical expertise in Microsoft Office as well as proficiency with web-based applications
Education:
Bachelor's degree required
#J-18808-Ljbffr