Compliance Division, Compliance Testing Group, Associate, Salt Lake City

Compliance Testing Group (“CTG”) is seeking an individual who is a self-starter who exudes energy, curiosity, and enthusiasm to conduct investigative work covering the various firm businesses and divisions. The principal objective of CTG is to create and execute detailed testing to assess compliance with regulations and firm policies, working closely with Compliance and business management to identify compliance, conduct, and reputational risks, and refine firm controls as appropriate.