Compliance, Compliance Testing Group (CTG), Vice President, Dallas

Principal Responsibilities

• Propose methods of testing and execute plans discussed and agreed with a team leader
• Gather data, perform analyses, and document results
• Identify potential compliance, conduct, and reputational risks, and effectively escalate to appropriate individuals
• Multi-task work on several different reviews with different individuals at the same time
• Leverage strong communication skills to interact with Compliance and business senior management
• Team with colleagues around the globe to share findings and refine processes

Basic 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; additional knowledge of Alteryx is useful

Preferred Qualifications

• 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)