Compliance, Enterprise Compliance Office - Risk Management, Associate, Dallas

 RESPONSIBILITIES AND QUALIFICATIONS 

Enterprise Compliance Office – Risk Management is at the forefront of aligning our firm’s compliance program with applicable laws, rules, regulations and evolving regulatory expectations. We are looking for a legal or regulatory practitioner to drive our mission forward by applying legal analysis, regulatory subject matter expertise and sound judgment to the design, execution and governance of firmwide regulatory change management and compliance risk management processes. The role requires excellent communication skills, close collaboration across Compliance, Legal, Risk, Engineering and business stakeholders, and the ability to translate complex regulatory requirements into clear, actionable program requirements for senior audiences.

Principal Responsibilities:

• Support the design and implementation of strategic and sustainable regulatory change management process

• Incumbent must be comfortable influencing all levels of staff to drive change. 

• Align and continuously evolve strategy for managing regulatory changes 

• Engage key stakeholders to make strategic decisions, prioritize implementation plans and manage volumes.

• Oversee consistency across pillars and divisions; identifying and addressing opportunities

• Participate in project to implement strategic sourcing solution for horizon scanning and regulatory change 

• Manage vendor content, including identifying requirements for GS profiles and engage strategically for efficient and optimized vendor information

• Support regulatory change governance routines across Compliance and the Firm 

• Identify automation and other strategic opportunities for a streamlined regulatory change process

• Represent Compliance in first line and second line led remediation efforts.

Qualifications:

• 4+ years’ experience in compliance or risk management in the financial services industry or consulting industry 

• Bachelor's degree

• Experience with issue management and/or internal control frameworks

• Experience with quality assurance or 2LOD review and challenge

• Strong understanding of Compliance program mandates and Operational Risk Frameworks 

• Excellent reporting skills

• Exceptional analytical, problem solving, critical thinking and project management skills with a proven track record of execution against deadlines

• Strong communication and relationship-building skills in frequent interaction with other areas of the firm, in particular, senior stakeholders 

• Detail-oriented and able to produce quality work product, even when managing time-sensitive demands from competing stakeholders

• Work independently and exercise strong judgment 

• Advanced PowerPoint and Excel skills