GBM- Regulatory Due Diligence - Operations - Analyst

Spectraforce Technologies
United States, Utah, Salt Lake City
Jun 26, 2025
Job Title: GBM- Regulatory Due Diligence - Operations - Analyst Duration: 6 months Location: Salt Lake City,UT Summary: Regulatory Due Diligence is required to conduct regulatory adherence checks for counterparties trading with to ensure all parties meet its' compliance obligations and other regulatory requirements. Regulatory Due Diligence supports both new client onboardings as well as managing existing client maintenance/data quality. The team coordinates with Legal, Compliance, Engineering, and other Client Onboarding teams to assist in the rollout of any new regulations or any updates/changes to existing regulations. The Regulatory Due Diligence team is a key part of the Client Onboarding. Regulatory Due Diligence is a global team with members sitting in Bengaluru, Warsaw and Salt Lake City. The Regulatory Due Diligence team supports onboarding new clients and maintenance and data quality management of existing clients within the Global Banking & Markets Division. The team manages key relationships for the firm and assists in the coordination of regulatory compliance checks. The Regulatory Due Diligence team is a key part of the Client Onboarding team within Global Banking & Markets Operations. The team is required to conduct regulatory adherence checks for to meet its compliance obligations and other regulatory requirements. The Warsaw team covers the Franchise and Clearing businesses overseeing operations primarily for prime brokerage, futures, and derivatives services. Having a working knowledge of the operational flow of a wide variety of products is an asset. The team also works closely with Technology to design new system enhancements to improve efficiencies and controls, and with Compliance to define and implement firm policies and controls. Skills: Excellent communication skills, both written and oral. Confidence to engage professionally and persuasively with clients and senior figures within the firm. Ability to think critically and apply thought leadership. Self-motivated and proactive team player who takes ownership and accountability of projects. Aptitude for building relationships and ability to communicate complex issues to a wide array of internal clients with differing levels of product experience. Experience in liaising with clients both internally and externally on a global basis. Proven analytical skills, problem solving ability, and a control mentality paired with meticulous attention to detail. Thrives in a teamwork-oriented environment and works well under pressure. Excellent organizational skills to work in a dynamic environment with changing requirements. Aptitude to manage clients' expectations and follow-through with professionalism. Technical expertise in Microsoft Office as well as proficiency with web-based applications. Must Haves: Bachelor's degree required.