Compliance, Compliance Testing Group (CTG), Vice President, Dallas
About The Position
The Compliance Testing Group (CTG) is seeking a self-starter with energy, curiosity, and enthusiasm to conduct investigative work across various firm businesses and divisions. The primary goal of CTG is to develop and execute detailed testing to ensure compliance with regulations and firm policies. This role involves close collaboration with Compliance and business management to identify compliance, conduct, and reputational risks, and to refine firm controls as needed. The global CTG team includes individuals with diverse backgrounds such as auditors, accountants, regulators, compliance professionals, lawyers, and traders. The successful candidate will work closely with Compliance and business management.
Requirements
- 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
Nice To Haves
- 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
- Additional knowledge of Alteryx is useful
- Fluency in French, Portuguese, Spanish, German, Italian, Portuguese, Japanese, Korean, or Mandarin Chinese a plus
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
Benefits
- Collaborative workspaces
- Ergonomic services
- Wellbeing and resilience offerings
- Flexibility and support
- Training and development opportunities
- Firmwide networks
- Benefits
- Wellness programs
- Personal finance offerings
- Mindfulness programs
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What This Job Offers
Job Type
Full-time
Career Level
Manager
