Compliance, Business Intelligence Group, Associate / Vice President, Dallas

Role Overview

Conduct legal, regulatory and financial due diligence to assess reputational risk in a variety of transactions and business relationships
Reputational issues analyzed by BIG include FCPA/anti-bribery compliance, environmental/social responsibility concerns, geo-political risk, financial irregularities, litigation risk, controversial products/services, human rights issues, data privacy, etc.
Clients include revenue-generating departments across all divisions of the firm, as well as areas within the control side
Identify and evaluate risk-relevant information from a variety of sources, including but not limited to: online media, proprietary databases, regulatory lists, public filings, litigation records, research reports, various internet sources

Skills And Experience

• 5 or more years of legal/regulatory, accounting, compliance or other financial experience
• Risk assessment skills and experience, preferably involving reputational, legal, regulatory, environmental and general compliance topics
• Strong technical proficiency – experience in online research and databases preferred
• Excellent analytical and communication skills (both oral and written)
• General experience dealing with the investment banking industry and knowledge of various types of investing and lending transactions
• Additional experience in an ESG (Environmental, Social and Governance) risk-related role is a plus
• Demonstrates a strong sense of intellectual curiosity and interest in current events
• Team player with inherent commercial judgment
• Ability to work effectively in a fast-paced and, at times, high pressure environment
• Strong sense of discretion with respect to highly confidential information

About the role

The role will be hired at either the Associate or Vice President level.

Business Intelligence Group Overview

The Business Intelligence Group (‘BIG’) is an advisory group in the Legal and Compliance Division that focuses on legal, regulatory and reputational risk, in relation to transactions across all divisions of the firm. BIG supports certain of the firm’s business lines and many of the firm’s committees in their efforts to make fully informed commercial and reputational risk management decisions. BIG is composed of individuals with a diverse set of backgrounds, including lawyers, researchers, accountants, risk managers, etc, many of whom have prior regulatory, government, audit and/or transactional due diligence experience.

Requirements

Preferred, but NOT required: additional language skills

Qualifications

CPA, CFA, JD/attorney license CFE designations are a plus, but not required