Compliance Associate (Business Intelligence)

TL;DR

Compliance Associate (Business Intelligence): Conducting legal, regulatory, and financial due diligence to assess reputational risk for transactions across all firm divisions with an accent on FCPA, ESG, and geo-political risk. Focus on identifying risk-relevant information from diverse sources and coordinating with internal and external legal counsel to mitigate compliance breaches.

Location: Onsite in Dallas, TX, United States

Company

A leading global investment banking, securities, and investment management firm.

What you will do

• Perform legal, regulatory, and financial due diligence to identify reputational risks in various transactions and business relationships.
• Analyze complex risks including FCPA/anti-bribery compliance, ESG concerns, geo-political risks, and human rights issues.
• Extract risk-relevant data from online media, proprietary databases, public filings, and litigation records.
• Liaise with external investigative consultants and in-house lawyers to drive the due diligence process.
• Analyze financial statements and prepare summary presentation materials for firmwide committees.

Requirements

• Approximately 3 or more years of legal, regulatory, accounting, or compliance experience.
• Proven experience in risk assessment, specifically regarding reputational, legal, and regulatory topics.
• Strong technical proficiency in online research and the use of proprietary databases.
• General knowledge of the investment banking industry and various investing/lending transactions.
• Excellent analytical and communication skills (both oral and written).
• Must be based in Dallas, TX.

Nice to have

• Additional experience in an ESG (Environmental, Social and Governance) risk-related role.
• CPA, CFA, JD/attorney license, or CFE designations.
• Additional language skills.

Culture & Benefits

• Commitment to fostering diversity and inclusion in the workplace.
• Extensive training and professional development opportunities.
• Access to firmwide networks and mindfulness programs.
• Comprehensive wellness and personal finance offerings.