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Global Banking & Markets - Operations - Regulatory Due Diligence - Analyst
Salt Lake City, UT
Job 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. Regulatory Due Diligence supports both new client onboardings as well as managing existing client maintenance/data quality. 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 Regulatory Due Diligence team is a key part of the Client Onboarding. Regulatory Due Diligence is a global team with members sitting in Bengaluru, Warsaw and Salt Lake City.
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 team manages key relationships for the firm and assists in the coordination of regulatory compliance checks. 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 Warsaw team covers the Franchise and Clearing businesses overseeing operations primarily for prime brokerage, futures, and derivatives services. Having a working knowledge of the operational flow of a wide variety of products is an asset. 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
SPECTRAFORCE is an equal opportunity employer and does not discriminate against any employee or applicant for employment because of race, religion, color, sex, national origin, age, sexual orientation, gender identity, genetic information, disability or veteran status, or any other category protected by applicable federal, state, or local laws. Please contact Human Resources at nahr@spectraforce.com if you require reasonable accommodation.
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. Regulatory Due Diligence supports both new client onboardings as well as managing existing client maintenance/data quality. 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 Regulatory Due Diligence team is a key part of the Client Onboarding. Regulatory Due Diligence is a global team with members sitting in Bengaluru, Warsaw and Salt Lake City.
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 team manages key relationships for the firm and assists in the coordination of regulatory compliance checks. 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 Warsaw team covers the Franchise and Clearing businesses overseeing operations primarily for prime brokerage, futures, and derivatives services. Having a working knowledge of the operational flow of a wide variety of products is an asset. 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
- Bachelor's degree required
SPECTRAFORCE is an equal opportunity employer and does not discriminate against any employee or applicant for employment because of race, religion, color, sex, national origin, age, sexual orientation, gender identity, genetic information, disability or veteran status, or any other category protected by applicable federal, state, or local laws. Please contact Human Resources at nahr@spectraforce.com if you require reasonable accommodation.
Job Summary
Company
Start Date
As soon as possible
Employment Term and Type
Regular, Full Time
Required Education
Bachelor's Degree
Required Experience
Open
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