Global Compliance - GCES - Operations - Analyst

Title : Global Compliance - GCES - Operations - Analyst

Duration : 6 months

Location : Salt Lake City, UT, 84111

Summary :

• 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 reputational risk associated with a variety of matters; monitors for compliance with existing and new 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, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.
• Global Compliance Employee Services (GCES) is responsible for overseeing employee-related compliance matters such as licensing and registrations; employee disclosures; review and approval of employees' outside brokerage accounts; private investments, outside interests, and political contributions; and the pre-clearance process for employees' personal trading activities.
• This role will be part of the employee personal trading team with responsibilities listed below.

Principal Responsibilities :