Compliance

Job Summary & Responsibilities

Private Wealth Management ("PWM") Compliance is responsible for supervising the business to ensure compliance with regulations and firm policies as well as assist with the implementation of new regulations and new systems / processes. The team covers many of the businesses within PWM that are constantly growing and changing.  We are looking for a team member who wants to be part of growing the business in new dimensions -  someone who is equal part visionary and executor. At times, the role will require you to navigate and problem solve with multiple teams and stakeholders. We look to those who possess sound judgement, curiosity, and are able to adapt to a changing regulatory landscape.

As a contributor within PWM Compliance, a successful candidate will be responsible for supporting and organizing Compliance's involvement in various projects and processes as well as being the key Compliance contact for certain working groups and business lines while developing subject matter expertise in regulations applicable to the business. Additionally, the role will involve working in collaboration with the broader Compliance team to deliver high quality work products reflecting attention to detail and analytical prowess.

PWM Compliance is seeking an experienced Vice President to join our Dallas team.  In addition to the above, responsibilities may include:

• Interacting with the global PWM business and compliance teams on a daily basis
• Having knowledge and understanding of different rules and regulations (e.g., FINRA, SEC, OCC)   and how they impact the PWM business
• Having knowledge of and experience with broker-dealer, investment advisor, and trust company businesses
• Reviewing marketing materials that are used to pitch PWM products and services to clients
• Tracking, reviewing, and analyzing regulatory updates and assisting with implementing necessary changes across the business 
• Preparing supervisory meeting materials detailing key metrics and regulatory issues 
• Assisting with firm risk assessment processes for PWM business lines 
• Responding to different regulatory examinations and inquiries pertaining to PWM
• Developing and implementing policies, procedures and best practices for PWM 
• Managing various regulatory projects spanning multiple business lines and stakeholders

Basic Qualifications:

• Undergraduate degree
• 3+ years of Compliance, Legal, Regulatory or Financial Services industry experience
• Proficiency with Microsoft Word, Excel, and PowerPoint
• Excellent time management, analytical, and communication skills
• Integrity, motivation, intellectual curiosity, and enthusiasm
• Familiarity with financial industry products and markets, as well as corresponding rules and regulations

Preferred Qualifications

• Graduate degree in law, business, or other relevant program
• Outstanding graduate school and undergraduate credentials
• At least three years of relevant post-undergraduate work experience, or, if holding a Masters, PhD, MBA, JD or equivalent, one to two years of relevant experience

Skills and Characteristics:

An ideal candidate should:

• Have the ability to quickly grasp complex concepts, including global business and regulatory matters
• Exercise strong judgement and decision-making in a collaborative consensus-driven environment
• Be interested in and willing to develop expertise in legal, regulatory and compliance issues in the financial industry
• Have strong project management skills and ability to see a task to completion
• Possess excellent interpersonal skills - team player, able to forge relationships, build consensus, and influence decisions
• Work well under pressure and have a positive, hands-on, "can do" attitude 
• Be able to devise and implement creative and innovative solution
• Possess strong analytical and risk assessment skills as well as concise verbal and written communication skills
• Be a self-starter, with the ability to self-educate and work effectively with minimal supervision
• Have the ability to multi-task and adapt to new situations and a dynamic work environment