Compliance, Compliance Investigator, Associate - Dallas
Job description
Business Unit and Role Overview
Compliance Testing Group (“CTG”) is seeking an individual who is a self-starter who exudes energy, curiosity, and enthusiasm to conduct investigative work covering the various firm businesses and divisions. The principal objective of CTG is to create and execute detailed testing to assess compliance with regulations and firm policies, working closely with Compliance and business management to identify compliance, conduct, and reputational risks, and refine firm controls as appropriate. CTG’s global team (with locations in New York, Salt Lake City, Dallas, London, Warsaw, Tokyo, Singapore, and Hong Kong) is comprised of individuals with varying backgrounds and experience (former auditors, accountants, regulators, compliance professionals, lawyers, and traders). The individual will work closely with Compliance and business management.
Responsibilities:
- Propose methods of testing and execute plans discussed and agreed with a team leader
- Gather data, perform analyses, and document results
- Identify potential compliance, conduct, and reputational risks, and effectively escalate to appropriate individuals
- Multi-task work on several different reviews with different individuals at the same time
- Leverage strong communication skills to interact with Compliance and business senior management
- Team with colleagues around the globe to share findings and refine processes
Basic Qualifications:
- Bachelor’s Degree
- Broad knowledge of financial products, markets, and laws and regulations such as FINRA and SEC rules
- Excellent interview, presentation, written communication, time management, and analytical skills
- Integrity, motivation, intellectual curiosity, and enthusiasm
Preferred Qualifications:
- Compliance, auditing, testing, legal, or regulatory/law enforcement experience
- Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, or regulator
- Fluency in French, Spanish, German, Italian, Portuguese, Japanese, Korean, or Mandarin Chinese a plus
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