Compliance Analyst
Location: Salt Lake City, UT (Onsite)
Pay: $20/hr W2
Duration: 4 Months
Principal Responsibilities:
Work with employees to ensure all necessary personal trading details are provided to the firm to enable trade monitoring in accordance with regulatory requirements
Review employee requests to open and maintain personal brokerage accounts
Review employee trading activity for potential conflicts of interest, policy or regulatory violations
Conduct investigations to identify policy breeches
Assist in the development of firm policy to ensure compliance with global personal trading laws and regulations
Assist in the development of controls and system enhancements to improve the firm s compliance program
Escalate situations, as appropriate, to legal professionals, relevant divisional compliance officers and business unit managers
Education: Bachelor’s Degree Preferred