Compliance Associate

BUSINESS UNIT AND ROLE OVERVIEW

Part of the Global Compliance Division, The Core Compliance is a global team responsible for providing compliance coverage to “The Core” business segments—the firm’s essential control, infrastructure, and support functions. This includes Engineering, Controllers, Corporate Treasury, Corporate and Workplace Solutions, Executive Office, Corporate Planning and Management, Risk, Tax, Internal Audit, Legal, Human Capital Management, and Operations groups embedded within revenue divisions. At the intersection of financial markets, regulatory integrity, and cutting-edge technology, our Compliance team plays a critical role in protecting the firm, its clients, and the broader financial system. We fulfill this mission by:

• Proactively identifying and assessing compliance risks
• Monitoring for compliance with laws, rules, regulations, and policies, including the identification and investigation of conduct-related issues
• Participating in firm responses to regulatory examinations, audits, and inquiries
• Performing surveillance and investigations of business activities of the above-referenced divisions
• Testing the effectiveness of controls
• Writing policies and procedures
• Translating complex regulations into clear, actionable guidance

ROLE AND RESPONSIBILITIES

This role will focus on providing Compliance coverage for the Controllers and Tax divisions, as well as Operations groups embedded within revenue divisions located in Dallas. A successful candidate will also participate in regional and global initiatives that support the Global Compliance mandate.

Here is what you will own and drive:

• Advise, challenge, and influence The Core divisions regarding regulations, policies, and reputational risk
• Leverage data analytics tools and compliance technology platforms to identify patterns and generate actionable insights
• Analyze regulatory changes and enforcement actions to assess the impact on The Core, and support work to ensure the business can meet applicable rules and requirements
• Support the development and analysis of related policies, standards, and processes to ensure compliance with applicable regulations and requirements
• Identify, investigate, and manage compliance issues involving The Core functions
• Provide support and guidance to The Core functions when dealing with regulators
• Present your findings to senior leaders and help shape firm-wide decisions
• Conduct forensic reviews to monitor compliance with regulations and firm policies
• Contribute to compliance risk assessments to support the effectiveness of the firm’s compliance program
• Draft and assist in the implementation of policies and procedures
• Develop and deliver communication and training 
• Investigate and liaise with internal stakeholders in relation to conduct issues 
• Coordinate with the broader The Core Compliance team on initiatives and projects
• 3+ years of relevant experience in compliance, risk management, legal, regulatory affairs, or a related control function within a US broker-dealer or financial institution
• Knowledge of operational practices in securities and derivatives markets
• Knowledge of regulations, practices, and market infrastructure in the Americas
• Knowledge of non-financial regulatory reporting, including: Blue Sheets, Consolidated Audit Trail, Large Option Position Reporting, Short Interest Reporting, and Swap Dealer Reporting 
• Familiarity of SEC, FINRA, CFTC, and NFA regulations
• Experience working as a regulator, interacting with regulators, or supporting regulatory audits or inquiries 

QUALIFICATIONS AND SKILLS

A strong candidate for The Core Compliance will satisfy some or all of the following criteria:

• Communication: Clear, concise written and verbal communication skills; ability to present findings and influence decisions at senior leadership levels.
• Professional Independence: Ability and willingness to challenge the status quo; comfortable managing interpersonal conflict and building strong rapport with stakeholders while maintaining independence as a risk manager.
• Analytical and Tech-Savvy: Proficient in using technology to analyze large datasets and summarize findings; familiarity with data tools (e.g., SQL, Tableau, Alteryx) is a plus.
• Adaptability: A fast learner who can adapt to rapid business and regulatory changes.
• Execution & Organization: Highly organized with the ability to manage long-term projects alongside time-sensitive, daily escalations.
• Collaboration: Team-oriented mindset with a strong commitment to collective success.