Compliance Division, Compliance Testing Group, Associate, Dallas

TL;DR

Compliance Division, Compliance Testing Group, Associate, Dallas (Regulatory Compliance): Conducting independent compliance testing across financial businesses and divisions with an accent on regulatory analysis, risk identification, and control assessment. Focus on gathering and analyzing data, documenting findings, escalating compliance and reputational risks, and collaborating with senior management and global colleagues.

Location: Dallas, TX, United States

Company

Global investment banking, securities, and investment management firm providing financial services to corporations, financial institutions, governments, and individuals.

What you will do

• Propose testing methods and execute agreed testing plans across firm businesses and divisions.
• Gather data, perform analyses, and document testing results.
• Identify and escalate compliance, conduct, and reputational risks.
• Manage multiple reviews involving different stakeholders simultaneously.
• Present findings and communicate with Compliance and business senior management.
• Collaborate with global colleagues to share findings and refine controls and processes.

Requirements

• Bachelor’s degree.
• Broad knowledge of financial products, financial markets, laws, rules, and regulations, including FINRA and SEC requirements.
• Strong interview, presentation, written communication, time management, and analytical skills.
• Integrity, motivation, intellectual curiosity, adaptability, and enthusiasm.

Nice to have

• Experience in compliance, auditing, compliance testing, controls testing, risk testing, legal, regulatory, or law enforcement work.
• Financial services experience with an investment manager, broker-dealer, law firm, accounting firm, or regulator.
• Familiarity with Business Intelligence and AI tools.
• Fluency in French, Portuguese, Spanish, German, Italian, Japanese, Korean, or Mandarin Chinese.

Culture & Benefits

• Collaborative environment with colleagues from diverse academic and professional backgrounds.
• Opportunities for professional training, development, and firmwide networking.
• Wellness, resilience, personal finance, and mindfulness programs.
• Flexible workplace support, ergonomic services, and reasonable accommodations during recruitment.