Compliance-Salt Lake City-Associate-Financial Crime Controls

Global Compliance

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 will be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

Financial Crime Compliance (FCC) coordinates the firm's enterprise-wide anti-money laundering (AML), sanctions, anti-bribery, and forensic surveillance efforts. The FCC team, comprising professionals with law enforcement, regulatory, legal, compliance, forensic consulting, operations, and business experience, administers a range of surveillances, due diligence, and other control processes designed to identify potential money laundering, terrorist financing, bribery, securities fraud, and other violations of law.

OPPORTUNITY

Regulatory and Audit Management (RAM) oversees firmwide FCC initiatives and serves as an advisory partner to other FCC groups. RAM supports the coordination of AML and other FCC regulatory examinations and inquiries; supports monitoring of relevant regulatory developments; supports policy and procedure development and management; and supports liaison activities between Internal Audit and FCC. RAM collaborates with FCC leaders and divisional stakeholders globally to support these priorities and broader FCC program management and administration.

Key Responsibilities

Regulatory Oversight:

• Support coordination of regulatory responses and materials across the global FCC program by collaborating with divisions and stakeholders to meet deadlines and reflect historic and evolving supervisory priorities.
• Support the drafting of regulatory responses covering various aspects of the AML program in collaboration with relevant stakeholders.
• Support analysis and preparation of exam- and inquiry-related metrics and reporting for senior management.

Data Gathering:

• Support collection, categorization, and validation of data from FCC stakeholders to facilitate regulatory responses.
• Support formatting and management of data using tools such as Microsoft Office (Excel, Word, PowerPoint), Alteryx, SharePoint, and internal/external applications.
• Provide administrative support to organize information within database repositories.

Data Analysis and Project Management:

• Support coordination with Global Compliance, Internal Audit, Operations, Technology, and Business teams to gather and analyze metrics and information.
• Support collaboration with other FCC teams to evaluate and enhance the FCC control environment.
• Support preparation of presentations and related materials, capture meeting summaries, and track follow-up actions through completion.

Preferred Qualifications:

• Bachelor's degree required; JD preferred.
• Three to five years of compliance or legal experience.
• Working knowledge of BSA/AML, counter-terrorism financing, anti-bribery, and/or anti-fraud within banking or at a regulator.
• Experience or exposure to regulatory examinations.
• Experience or exposure to Internal Audit, preferably in banking.
• Project management experience.
• Advanced Excel and PowerPoint skills (pivot tables, large datasets, data manipulation and visualization).
• Strong verbal and written communication skills; comfortable presenting analyses.
• Knowledge of financial products and services.
• Team player with strong work ethic.
• Ability to manage multiple assignments simultaneously.
• Interest in working on a global team supporting global businesses