Compliance, Compliance Testing Group (CTG), Vice President, Dallas
On-siteDallas, Texas, United States
Dallas, Texas, United StatesOn-siteFull TimeSenior LevelInvestment BankingEnterprise
Full TimeSenior LevelEnterpriseInvestment Banking
Job Summary
Propose testing methods and execute plans to assess compliance with regulations and firm policies. Gather data, perform analyses, and document results to identify potential compliance, conduct, and reputational risks. Escalate findings to appropriate individuals and multi-task reviews with different stakeholders. Leverage communication skills to interact with Compliance and business senior management while collaborating globally to share findings and refine processes. Based in Dallas with global team members across major financial centers, this role supports the firm's second line of defense in risk management.
Required Qualifications
- Bachelor's Degree
- Broad knowledge of financial products and markets, as well as laws, rules and regulations, such as FINRA and SEC rules
- Excellent written and verbal communication skills, with the ability to describe complex issues in a clear and concise manner
- Excellent interview, presentation, written communication, time management, and analytical skills
- Integrity, motivation, intellectual curiosity, and enthusiasm
- Knowledge of Microsoft Word and Excel
Desired Qualifications
- additional knowledge of Alteryx
- Compliance, auditing, testing (i.e., Compliance testing, controls testing, risk testing), legal, or regulatory/law enforcement experience
- Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, or regulator
- Familiarity with Business Intelligence and AI tools
- Fluency in French, Portuguese, Spanish, German, Italian, Portuguese, Japanese, Korean, or Mandarin Chinese a plus
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