About this opportunity
The Church of Jesus Christ of Latter-day Saints lists this Senior Compliance Specialist (Ensign Peak Advisors) opportunity in salt lake city, Utah. Review the employer’s description below for duties, qualifications and application requirements.
Job description
Senior Compliance Specialist
The Senior Compliance Specialist is responsible for supporting and enhancing the firm’s compliance framework and control environment. This role works closely with business units, senior management, and compliance committees to ensure adherence to regulatory requirements, effective risk management, and operational integrity. The position requires advanced knowledge of financial services compliance, strong analytical capabilities, and the ability to independently manage complex compliance and operational initiatives.
Responsibilities
Enhance and strengthen compliance programs, processes, and control frameworks, including identifying and implementing automation opportunities
Lead the execution of compliance testing, monitoring, and training programs
Monitor adherence to regulatory and internal compliance obligations, including portfolio and transactional compliance
Serve as a subject matter expert in document retention policies and procedures, information barriers, and portfolio and transactional compliance
Partner with internal stakeholders to collect, maintain, and safeguard key documentation and records
Identify risks, evaluate control effectiveness, and recommend enhancements to management and compliance committees
Develop and maintain a deep understanding of business functions, operational processes, and supporting technology systems
Prepare and deliver clear, accurate, and timely reports and presentations to senior stakeholders
Collaborate across business units to support compliance initiatives and operational improvements
Stay current on regulatory developments and industry best practices through ongoing training and professional engagement
Be responsible for preparing and analyzing reporting to external regulatory agencies (TIC, SEC, BEA, CFTC etc.)
Qualifications
Bachelor’s degree in accounting, finance, economics, or a related field
Strong understanding of financial markets, investment operations, and applicable regulatory requirements
Demonstrated ability to work independently, exercise sound judgment, and appropriately elevate issues
Strong communication, organizational, and project management skills
Ability to analyze complex business processes and associated technology controls
Experience
Minimum of 10+ years of experience in financial services compliance, operations, or a related function (e.g., public accounting, investment management, banking, capital markets)
Proven experience with compliance frameworks, internal controls, and operational risk management practices
Preferred Qualifications
Advanced degree (e.g., MBA, JD, MPA)
Relevant professional certifications such as CPA (Certified Public Accountant), CFA (Chartered Financial Analyst), CRCM (Certified Regulatory Compliance Manager), FRM (Financial Risk Manager)
Equal Opportunity
Qualified applicants will be considered for employment without regard to race, national origin, color, gender, pregnancy, marital status, age, disability, genetic information, veteran status, or other legally protected categories that apply to the Church. The Church will make reasonable accommodations for qualified individuals with known disabilities. Only members of the Church who are worthy of a temple recommend qualify for employment. Apart from this, the Church is an equal opportunity employer and does not discriminate in its employment decisions on any basis that would violate U.S. or local law.
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Worksite address
salt lake city, UT, 84193, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.