Compliance, Core - Program Strategy and Alignment, Vice President, Dallas Dallas Vice President

Overview

Compliance, Core - Program Strategy and Alignment, Vice President, Dallas  Dallas, Texas, United States

Global Compliance

Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations;

designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You ll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

Responsibilities and

Qualifications:

The Program Strategy and Alignment Pillar within Enterprise Compliance Risk Management is at the forefront of delivering robust compliance risk management in adherence with regulator expectations. We are looking for a team member who can help drive our compliance risk management program and Firm-wide tooling integration needs forward, by collaborating with first- and second-line teams, including Engineering, Operational Risk, the business and Compliance globally.

The successful candidate should demonstrate strategic thinking, comfort interacting with senior audiences, and an ability to lead large scale transformation.

We are looking for someone who is equal part visionary and executor. The role will require you to collaborate, navigate and problem solve with multiple teams.

• Architect and implement data-driven compliance reporting frameworks, including designing and uplifting existing management and board reporting
• Design and optimize core compliance operations, leveraging workflow automation and strategic alignment with regulatory requirements
• Lead enterprise-scale reporting and analytic initiatives, partnering with product and engineering to integrate structured and unstructured data sources to support compliance management and board reporting
• Coordinate cross-functional stakeholder engagement across global compliance partners and external entities to ensure alignment on management and board reporting
• Synthesize complex data into crisp narratives, highlight material compliance risks, and frame options using cost, control effectiveness, and regulatory consequence lenses; maintain consistent “single source of truth"
• Elevate emerging issues early with clear severity, impact, and remediation plans; KRIs/KCIs, and trend analyses to inform prioritization
• Participate in regulatory and audit interactions, including management of formal requests, examinations, and documentation
• Contribute as a subject matter expert in firmwide compliance uplifts
• Manage senior manager report generation, including data collection, analysis and review
• Manage, coach and mentor team members on reporting rigor, data governance, and stakeholder communication
• Establish operating rhythms across the Management Reporting team (stand-ups, retrospectives, post-mortems) to reinforce accountability, quality, and continuous improvement

• 5-10+ years  experience in technology, compliance or risk management in the financial services industry or consulting industry
• Experience with large-scale, global technology transformation initiatives
• Experience with JIRA, Alteryx, and PowerBI
• Strong understanding of Compliance programs
• Exceptional analytical, problem solving, critical and creative 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,…