Job DescriptionThe 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.
Ensign Peak Advisors is an affiliated organization of The Church of Jesus Christ of Latter-day Saints. In support of the Church's global mission, Ensign Peak Advisors manages the financial reserves of the Church and provides cash management services to fund Church operations.
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 escalate 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)
