Texas Capital

Texas Capital

Compliance Officer, Broker-Dealer Investment Banking

Dallas, TX · Full-time

Sponsorship not specifiedDetected 30 days ago
Data AnalysisComplianceAccountingAuditingCorporate LawResearchLeadershipCommunicationProblem SolvingCritical ThinkingPublic SpeakingWritingMicrosoft OfficeInternal Audit

About the role

  • Texas Capital is built to help businesses and their leaders.
  • Our depth of knowledge and expertise allows us to bring the best of the big firms at a scale that works for our clients, with highly experienced bankers who truly invest in people's success - today and tomorrow.
  • Our bankers are seasoned financial experts who possess deep experience across a multitude of industries.

Responsibilities

  • Shape the firm's overall compliance program architecture, aligned with enterprise risk appetite and regulatory expectations. Monitor and optimize control design, implementation and testing across all business units.
  • Lead the firm's response to regulatory inquiries, comment letters, and examination findings.
  • Manage corrective action plans and oversight of remediation timelines.
  • Research, interpret and implement SEC Rules 17a-3, 17a-4, 15c3-1 and 15c3-3) and FINRA Rules 4530 Supervisory Obligations
  • 3110 Supervision and 2210 Communications with the Public). Maintain current knowledge of rule changes and emerging regulatory expectations.
  • Update and synchronize written supervisory procedures, compliance manual, code of conduct, operational process documents and exception management policies. Ensure policies reflect current regulations, firm practices and control testing results.
  • Develop and oversee surveillance for foreign exchange, swaps, commodities and OTC derivatives transactions, including position limits, counterparty risk acknowledgments and regulatory reporting.
  • Monitor and optimize control design, implementation and testing across all business units.
  • Research, interpret and implement SEC Rules 17a-3, 17a-4, 15c3-1 and 15c3-3) and FINRA Rules 4530 Supervisory Obligations; 3120 and 3130 Supervisory Control System; 3110 Supervision and 2210 Communications with the Public).
  • Maintain current knowledge of rule changes and emerging regulatory expectations.

Requirements

  • Minimum 7 years of progressive compliance experience within a broker/dealer operating as an affiliate, subsidiary or division of a bank and/or Registered Investment Advisor.
  • Deep, demonstrated knowledge of SEC and FINRA regulations, supervisory requirements and examination standards.
  • Proven experience implementing policies, controls and procedures in response to regulatory rules and expectations.
  • Familiarity with surveillance tools and forensic analysis of trading data.
  • Specific experience with compliance challenges in FX, swaps, options and other OTC derivatives, including Dodd-Frank compliance, position management and regulatory reporting.
  • or equivalent combination of education, training, experience
  • Deep, demonstrated knowledge of SEC and FINRA regulations, supervisory requirements and examination standards. Proven experience implementing policies, controls and procedures in response to regulatory rules and expectations.
  • Significant experience with equity and/or derivatives trading surveillance, market abuse/manipulation detection, trade reporting and regulatory inquiry response. Familiarity with surveillance tools and forensic analysis of trading data.
  • Experience responding to SEC and/or FINRA examinations, managing exam findings, preparing Corrective Action Plans and representing the firm to regulators. Prior FINRA examination experience (as compliance professional or as examiner) is a strong plus.
  • Required: Series 24, 7, and 63. Preferred additional: Series 3, 7, 57, and 53. Juris Doctor (JD) with securities law specialization a plus. Position is full-time, on premises at the firm's Dallas, Texas headquarters.
  • Expert formal business writing skills to create procedures, manuals, and management reports

Nice to have

  • Specific knowledge of risk management frameworks and corporate governance
  • Expert ability to analyze risk concentration areas, risk profiles, and risk data to comprehensively assess risk
  • Advanced ability to interact, negotiate and influence at all levels throughout the organization
  • Strong attention to detail in a deadline-focused environment
  • Advanced analytical, critical thinking and problem-solving skills
  • Ability to identify potential risks and raise to appropriate levels
  • Advanced knowledge of financial rules and regulations
  • Strong technical proficiency in the use of MS Office products for reporting, data analytics, and presentations

Benefits

  • Monitor equity research independence, timeliness of disclosures, pre-publication review, conflicts of interest disclosure and fair allocation policies.
  • Develop and deliver Firm Element Continuing Education content to Associated Persons.
  • Bachelor's degree (preferred in Finance, Accounting, Business, or Analytics, Computer Science); or equivalent combination of education, training, experience

Company info

  • While we are rooted in core financial products, we are differentiated by our approach.
  • We are seeking a highly experienced compliance professional who will operate with broad authority and autonomy across all investment banking business divisions and risk categories.
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This listing is sourced directly from Texas Capital's careers page and normalized into a canonical job model.