GBM- Regulatory Due Diligence - Operations - Analyst

Spectraforce Technologies
United States, Utah, Salt Lake City
Jul 25, 2025
Title:GBM- Regulatory Due Diligence - Operations - Analyst Duration: 6 months Location: Salt Lake City , UT 84101 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. Must Haves: Bachelor's Degree.