Compliance-The Core Compliance, Associate, Dallas

About the role

Part of the Global Compliance Division, The Core Compliance is a global team responsible for providing compliance coverage to essential control, infrastructure, and support functions of the firm.

Responsibilities

• Advise, challenge, and influence The Core divisions regarding regulations, policies, and reputational risk
• Leverage data analytics tools and compliance technology platforms to identify patterns and generate actionable insights
• Analyze regulatory changes and enforcement actions to assess the impact on The Core, and support work to ensure the business can meet applicable rules and requirements
• Support the development and analysis of related policies, standards, and processes to ensure compliance with applicable regulations and requirements
• Identify, investigate, and manage compliance issues involving The Core functions
• Provide support and guidance to The Core functions when dealing with regulators
• Conduct forensic reviews to monitor compliance with regulations and firm policies
• Contribute to compliance risk assessments to support the effectiveness of the firm’s compliance program
• Draft and assist in the implementation of policies and procedures
• Develop and deliver communication and training
• Investigate and liaise with internal stakeholders in relation to conduct issues
• Cook up with the broader The Core Compliance team on initiatives and projects

Requirements

• 3+ years of relevant experience in compliance, risk management, legal, regulatory affairs, or a related control function within a US broker-dealer or financial institution
• Knowledge of operational practices in securities and derivatives markets
• Knowledge of regulations, practices, and market infrastructure in the Americas
• Familiarity of SEC, FINRA, CFTC, and NFA regulations
• Experience working as a regulator, interacting with regulators, or supporting regulatory audits or inquiries

Skills

• Clear, concise written and verbal communication skills; ability to present findings and influence decisions at senior leadership levels
• Ability and willingness to challenge the status quo; comfortable managing interpersonal conflict and building strong rapport with stakeholders while maintaining independence as a risk manager
• Proficient in using technology to analyze large datasets and summarize findings; familiarity with data tools (e.g., SQL, Tableau, Alteryx) is a plus
• A fast learner who can adapt to rapid business and regulatory changes
• Hightly organized with the ability to manage long-term projects alongside time-sensitive, daily escalations
• Team-oriented mindset with a strong commitment to collective success

Qualifications

• Communication: Clear, concise written and verbal communication skills; ability to present findings and influence decisions at senior leadership levels.
• Professional Independence: Ability and willingness to challenge the status quo; comfortable managing interpersonal conflict and building strong rapport with stakeholders while maintaining independence as a risk manager.
• Analytical and Tech-Savvy: Proficient in using technology to analyze large datasets and summarize findings; familiarity with data tools (e.g., SQL, Tableau, Alteryx) is a plus.
• Adaptability: A fast learner who can adapt to rapid business and regulatory changes.
• Execution & Organization: Highly organized with the ability to manage long-term projects alongside time-sensitive, daily escalations.
• Collaboration: Team-oriented mindset with a strong commitment to collective success.

Pay

N/A

Schedule

N/A

Benefits

N/A