Compliance Manager - Regulatory Obligations

Madison-Davis

Dallas / Fort Worth, TX

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JOB DETAILS

SKILLS

Analysis Skills, Asset Management, Banking Services, Brokerage, Business Analysis, Business Operations, Business Processes, Business impact analysis (BIA), Capital Markets, Change Management, Communication Skills, Detail Oriented, Documentation, Financial Regulations, Financial Services, Internal Audit, Interpret Regulations, Inventory Management, Legal, Maintain Compliance, Monitor Regulations, Presentation/Verbal Skills, Program Control, Regulations, Regulatory Compliance, Regulatory Requirements, Reporting Dashboards, Reporting Skills, Risk, Risk Analysis, Risk Management, Traceability, Writing Skills

LOCATION

Dallas / Fort Worth, TX

POSTED

30+ days ago

A financial services organization is seeking a Compliance professional to support the management and evolution of its regulatory governance framework. This role will focus on maintaining regulatory inventories, tracking regulatory developments, supporting compliance change initiatives, and ensuring regulatory requirements are appropriately reflected within policies, controls, and business processes.

The successful candidate will work closely with Compliance, Legal, Risk, Audit, and business stakeholders to strengthen regulatory governance, improve traceability of obligations, and support enterprise compliance initiatives.

RESPONSIBILITIES

Regulatory Governance & Obligations Management

Maintain and enhance the organization's inventory of regulatory requirements and compliance obligations.
Ensure regulatory obligations are accurately documented, categorized, and traceable to relevant policies, procedures, controls, and business processes.
Support the ongoing maintenance and governance of compliance frameworks and regulatory inventories.
Assist in identifying gaps between regulatory requirements and existing control environments.

Regulatory Change Management

Monitor regulatory developments and emerging requirements affecting financial services businesses.
Analyze regulatory changes and assess potential impacts on business operations, compliance programs, and control frameworks.
Prepare summaries, impact assessments, and implementation recommendations for stakeholders.
Coordinate regulatory change initiatives across business, compliance, and control functions.

Compliance Governance & Reporting

Support governance forums, committees, and working groups focused on regulatory compliance and risk management.
Develop reporting, dashboards, and management information related to regulatory obligations and compliance initiatives.
Assist with remediation tracking and oversight of identified compliance gaps.
Prepare materials and presentations for senior management and governance stakeholders.

Controls, Testing & Assurance

Partner with Compliance Testing, Risk Management, and Internal Audit teams to ensure appropriate regulatory coverage.
Assist in evaluating control effectiveness and identifying opportunities to strengthen compliance oversight.
Support issue management processes, including tracking findings and remediation efforts.
Participate in compliance reviews and governance assessments as needed.

Policy & Advisory Support

Assist in maintaining and updating compliance policies, standards, and procedures.
Support policy governance processes, including periodic reviews and approvals.
Provide day-to-day compliance guidance on regulatory requirements and governance-related matters.
Assist in developing compliance training materials and awareness initiatives.

Regulatory Engagement

Support responses to regulatory examinations, audits, and information requests.
Coordinate documentation gathering and stakeholder engagement related to regulatory reviews.
Assist with regulatory readiness efforts and ongoing compliance program enhancements.

QUALIFICATIONS

QUALIFICATIONS

Bachelor's degree required.
3 7 years of experience within Compliance, Regulatory Affairs, Legal, Risk Management, Internal Audit, or related financial services functions.
Working knowledge of U.S. Financial services regulations and regulatory governance practices.
Experience supporting regulatory change management, compliance governance, policy management, or regulatory advisory programs.
Strong analytical and critical-thinking skills with exceptional attention to detail.
Excellent written and verbal communication abilities.
Ability to interpret regulatory requirements and translate them into practical business and compliance actions.

PREFERRED EXPERIENCE

Experience maintaining regulatory inventories, obligations registers, or compliance governance frameworks.
Familiarity with regulatory mapping, control frameworks, and compliance risk assessments.
Exposure to broker-dealer, banking, capital markets, or asset management regulatory environments.
Experience supporting regulatory examinations, audits, or remediation initiatives.
Knowledge of governance, risk, and compliance (GRC) platforms or regulatory technology solutions.

What This Role Offers

Opportunity to play a central role in regulatory governance and compliance program development.
Broad exposure to Compliance, Legal, Risk, Audit, and business stakeholders.
Involvement in regulatory change, governance, policy management, and compliance transformation initiatives.
High visibility across multiple regulatory and control functions.
Strong career development opportunities within compliance governance, regulatory affairs, and risk management.

Compliance Manager - Regulatory Obligations

Madison-Davis

Dallas / Fort Worth, TX

About the Company

Madison-Davis

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