Compliance and Risk Analyst IV

7–10 years of experience in program management, compliance, risk management, or regulatory transformation; Proven experience in delivering large-scale regulatory or compliance programs; Strong understanding of compliance activities, such as Trade Surveillance and Control Room; Experience in policy/procedure drafting; Experience in interacting with internal audit, regulators, or supervisory bodies; and. This includes but is not limited to reviewing documentation (e.g., policies and procedures), developing policies and procedures, drafting target operating models, and performing gap assessments; Partnering with Compliance Subject Matter Experts to develop and/or update policy documentation, with a primary focus on Markets and Investment Banking compliance requirements; Preparing status reporting and related dashboards; and.

 

Title: Compliance and Risk Analyst IV/ Compliance Manager
Location: Dallas, TX 75201
Duration: 3 months (Possibility of Extension)
Pay Range: $70/hr - $75/hr

Job Summary:

• This position is responsible for assisting Compliance with end-to-end build and implementation of enhanced compliance program activities.
• Reporting to the International Compliance Program Lead, this position works with various Compliance units across entities and jurisdictions to deliver an enhanced compliance program. The position combines project management and program design/implementation skills.  

Key Responsibilities

• Assisting each workstream with program design and implementation. This includes but is not limited to reviewing documentation (e.g., policies and procedures), developing policies and procedures, drafting target operating models, and performing gap assessments;
• Partnering with Compliance Subject Matter Experts to develop and/or update policy documentation, with a primary focus on Markets and Investment Banking compliance requirements;
• Preparing status reporting and related dashboards; and
• Helping workstreams complete program design and implementation in accordance with agreed-upon minimum requirements and escalating to leadership variations for consideration and decisioning.

Education

• Degree or equivalent work experience equally preferable.

Work Experience

• 7–10 years of experience in program management, compliance, risk management, or regulatory transformation;
• Proven experience in delivering large-scale regulatory or compliance programs;
• Strong understanding of compliance activities, such as Trade Surveillance and Control Room;
• Experience in policy/procedure drafting;
• Experience in interacting with internal audit, regulators, or supervisory bodies; and
• Strong organizational, communication, and stakeholder management skills.

Functional Skills

• Expertise in compliance risk frameworks and second line of defense responsibilities as well as knowledge of compliance regulatory requirements across multiple jurisdictions; and
• Extensive background in designing and implementing scalable compliance programs.

The Company offers the following benefits for this position, subject to applicable eligibility requirements: medical insurance, dental insurance, vision insurance, 401(k) retirement plan, life insurance, long-term disability insurance, short-term disability insurance, paid parking/public transportation, paid time off, paid sick and safe time, hours of paid vacation time, weeks of paid parental leave, and paid holidays annually – as applicable.