Asset & Wealth Management- Salt Lake City- Associate, Ongoing Client Readiness- 10404554

Location: Salt Lake City, Utah.

Responsibilities

• Monitor and remain current on evolving regulatory requirements related to Client Due Diligence (CDD), Know Your Customer (KYC), Customer Identification Program (CIP), and Anti-Money Laundering (AML), and apply regulatory guidance to daily operational activities.
• Contribute to process improvement initiatives by identifying inefficiencies and supporting enhancements to due diligence and compliance workflows.
• Maintain a strong understanding of business processes, timelines, and risk considerations associated with client onboarding and ongoing due diligence, ensuring consistent adherence to compliance standards.
• Verify, validate, and authenticate client information, documentation, and legal entity agreements for new and existing clients to ensure accuracy, completeness, and regulatory compliance.
• Collaborate with cross-functional partners, including legal, compliance, and internal stakeholders, to exchange risk assessment information and respond to inquiries.
• Identify, analyze, and assess potential risk factors, inconsistencies, or discrepancies in client data and escalate issues in accordance with internal policies and procedures.
• Exercise sound business judgment to prioritize workload, manage time-sensitive requests, and meet service-level expectations in a fast-paced environment.

Requirements

Education and experience (one of the following):

• Master's degree (U.S. or foreign equivalent) in Finance, Business Administration, Accounting, Regulatory Science, or related field and one (1) year of experience in job offered or a related role
• Bachelor's degree (U.S. or foreign equivalent) in Finance, Business Administration, Accounting, Regulatory Science, or related field and three (3) years of experience in job offered or a related role

Prior employment must include the following experience (one (1) year with a Master's or three (3) years with a Bachelor's):

• Utilizing Alteryx to run data analysis and build workflows
• Utilizing SQL to prepare and run queries for items related to Rolling Review
• Utilizing project management skills including application enhancements, including overall User Acceptance Testing (UAT), test script generation, and coordination of testing with business stakeholders
• Identifying risks inherent in daily business process and driving initiatives to design controls and to mitigate risk while seeking Straight-Through-Processing (STP) workflows
• Analyzing and solving reference data discrepancies and exceptions management
• Assisting with designing test documents, executing test scripts, and monitoring production environment roll outs