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Wasatch Global Investors · 18 hours ago

Compliance Associate

Salt Lake City

Full-time

Onsite

New Grad, Entry Level

Wasatch Global Investors is an SEC-registered investment adviser based in Salt Lake City, Utah. The Compliance Associate will support the Legal and Compliance department by designing, implementing, and monitoring compliance policies to ensure adherence to regulatory requirements.

Asset ManagementFinancial ServicesFunding Platform

Comp. & Benefits

Responsibilities

Work closely with other members of the Compliance and Legal department on compliance matters and issues daily

Become the point person on certain compliance matters and issues and become involved in analyzing and resolving significant compliance issues that arise

Work on identifying risks, establishing policies and procedures to address those risks, and then implementing those policies and procedures

Undertake testing and evaluation of the firm’s compliance practices

Review advertising and marketing materials for compliance

Maintain and work to a compliance calendar that identifies all important dates by which regulatory, client reporting, and other compliance matters must be completed to ensure that important deadlines are not missed

Remain current on regulatory and compliance issues and participates in continuing education programs

Assist in training Wasatch employees in compliance-related matters

Qualification

Compliance policies developmentRegulatory knowledgeFinancial services complianceProfessional certificationsDiscretion on confidential mattersVerbal communicationWritten communicationProblem-solving mindsetOrganizational skills

Required

Self-motivated but collaborative, team-first approach with a problem-solving mindset

Skilled in both verbal and written communication

Ability to maintain a high degree of sensitivity and exercise discretion on confidential matters is mandatory

Demonstrated ability to organize, set priorities, and manage multiple competing deadlines simultaneously

Minimum of bachelor's degree required

Preferred

Knowledge of relevant legal and regulatory requirements, standards and principles governing Registered Investment Advisers and Registered Investment Companies is a plus

Direct compliance experience in the financial services industry is preferred

Investment Adviser Certified Compliance Professional (IACCP), Certified Compliance and Ethics Professional Certification (CCEP), Certified Regulatory and Compliance Professional (CRCP), or similar professional certification is a plus

Company

Wasatch Global Investors

Wasatch Global Investors is an investment management firm that engages in financial services such as equity funds and separate accounts.

Founded in 1975

Salt Lake City, Utah, USA

51-200 employees

https://wasatchglobal.com/

Funding

Current Stage

Growth Stage

Leadership Team

J.B. Taylor Jr.

Portfolio Manager, Director, CEO

Russell Biles

Mutual Fund Chief Compliance Officer, Vice President, Corporate Secretary & Counsel

Recent News

Business Standard India

Citigroup, GS, others buy 15.67% stake in Medi Assist Health for ₹578 cr

2025-08-13

StreetInsider.com

Wasatch Global Investors Welcomes Mark Madsen and Karson Schrader

2025-02-13

Company data provided by crunchbase