Job Description

Global Compliance, Compliance Transformation Office, Associate, Salt Lake City

GLOBAL COMPLIANCE DIVISION

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'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.

COMPLIANCE TRANSFORMATION OFFICE

A new team created to transform and optimize the overall Compliance function to drive increased effectiveness and efficiency of the Compliance Program. We partner with the senior Global Compliance leadership to articulate clear, measurable goals and align the transformation activities with the divisional strategic objectives and regulatory drivers. We engage with the broader Compliance organization to accelerate the delivery pace, advance the forward-looking vision, and create sustainable, future-proof solutions.

RESPONSIBILITIES

• Support the Head of Transformation in assessing existing processes and capabilities to identify gaps and opportunities for optimization
• Review existing organizational structure and facilitate deployment of transformation levers such as Target Operating Model (TOM), control framework, process engineering, automation and location strategy
• Collaborate with a broad group of stakeholders to define a holistic and integrated roadmap for initiatives relating to technology, reporting, and process enhancements. Support execution with a sense of urgency
• Support an effective governance framework for scope review, roadblock resolution, risk management, and communicating project health
• Assist with coordination during initiation, scoping, requirements definition, development, testing, and go-live stages to ensure that the divisional objectives are met within agreed timeframes. Timely escalate items at risk and clearly articulate the impact
• Establish and maintain regular communication channels to ensure alignment across various stakeholder groups and functions
• Continuously communicate divisional objectives to maintain stakeholders' and teams' focus on successful outcomes
• Structure ambiguous problems and take action to solve them without complete information
• Prepare materials for working groups and committees, project dashboards, operating model diagrams, requirement specifications, test plans, etc.

QUALIFICATIONS

• Bachelor's degree in Business, Finance, Computer Engineering/Science, or a related field
• 4+ years of professional experience in a Project Management or Program Management function, preferably within the financial services industry
• Exposure to driving execution for process improvement and re-engineering
• Persistent, resourceful and tenacious self-starter
• Ability to communicate with impact and tailor messaging to diverse stakeholder groups including engineering & product teams, end users, management, and executive-level leadership
• Ability to cultivate long-term relationships and consensus across stakeholders
• Exceptional time management and prioritization skills, with a proven track record of coordinating concurrent activities with multiple interdependencies across several teams
• Leadership, problem solving, and critical thinking skills when under pressure
• Understanding of control and risk functions
• Intellectually curious mindset and motivation to identify creative, innovative solutions
• PowerPoint and Excel skills
• Exposure to automation and advanced technology, such as machine learning (ML) and artificial