Salt Lake City, UT26 days ago
Prior experience must include three (3) years of experience with a Master’s degree OR five (5) years of experience with a Bachelor’s degree with the following: conducting interviews with stakeholders, including process owners and supervisors, and leveraging analytical skills such as data analysis through Microsoft Excel to identify gaps/deficiencies in key controls and/or employee misconduct that may present compliance or regulatory risk; orally presenting findings to senior stakeholders in the areas being reviewed, including clearly articulating the fact-patterns, risk(s), and potential next steps for remediation; and drafting written findings that articulate fact patterns and associated risks and summarize next steps for remediation. Prior experience must include one (1) year of experience with the following: knowledge of financial markets and laws and regulations such as CFTC and Futures Exchange rules such as ICE and CME; knowledge of financial products, specifically Commodities or Futures products; working with sales and trading, product controllers, compliance, legal, regulatory, and audit and risk teams; and handling compliance testing review end-to-end, including planning and scoping the review, executing test plans (such as selecting data samples and performing analyses), identifying and socializing findings, and working with stakeholders to both track and provide review and challenge of finding remediations.