Compliance Specialist

Where

Salt Lake City, UT

What you'll be doing

Review written material for potential conflict of interest, compliance with rule, regulation and firm policy and procedure, cross border restriction, copyright and data licensing issue and other regulatory or reputational risk to the firm. Create, update, and deliver training for other team member regarding applicable law, regulation, policy and procedure and method and best practice for reviewing communication. Work with divisional compliance and legal to analyze rule change and provide input on updating policy regarding written communication. Identify potential target for investigation and conduct investigation and review. Review and assist in the design of supervisory and compliance report and compliance surveillance.

What your background should be

Good drafting ability, but drafting will be limited to providing comment on written material, and drafting short policy and guideline document and training. Clarity and brevity is essential. Must be a proactive team player, with strong sense of urgency and ability to get along with other. Excellent multi-tasking abilities required. Ability to implement solution is critical. Strong interpersonal communication and analytical skills.

Required Schooling / Training

Bachelor degree.

Who is the client company

This is an American multinational investment banking firm that engages in global investment banking, securities, investment management, and other financial services.

If you are interested in this position, send your resume to apply@kochdavis.com