Compliance, Transaction Banking, Vice President, Dallas

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.

• Providing advice and compliance oversight to Transaction Banking personnel on client interactions/engagements, new business initiatives and significant business changes affecting the firm, as well as compliance, regulatory and reputational issues.
• Developing and implementing policies, procedures and best practice standards for Transaction Banking
• Driving controls analysis and assessments for new business initiatives within Transaction Banking
• Creating and implementing new controls and surveillances to mitigate risks to the firm by analyzing the transactional processes used in Transaction Banking, as well as the activities and actions of individual personnel.
• Assisting other compliance teams in monitoring Transaction Banking activities to help ensure adherence to applicable laws, regulations and firm policies and procedures, including developing and executing surveillance and other forensic compliance programs.
• Creating and implementing live and online compliance training programs to educate business professionals on applicable compliance requirements, legal issues and regulatory changes.
• Assisting in responding to regulatory inquiries and investigations.
• Review and approve marketing / advertising
• Execute Compliance Risk Assessments

• Detail-oriented and able to produce quality work product, even when working under tight time frames
• Able to effectively summarize, communicate and defend positions
• A critical thinker who is willing to challenge the status quo
• Possess strong analytical, organizational, researching and fact-gathering skills
• A proactive team player, who enjoys working collaboratively
• A quick learner who can adapt well to a fluid regulatory and business environment
• Possess the ability to multi-task and adapt to new situations and a dynamic work environment
• Works well under pressure and have a positive, hands-on, "can do" attitude
• Be creative, with the ability to devise and implement innovative solutions

• Bachelor's degree required; JD a plus
• Minimum 5 years of experience in compliance, law and/or finance, preferably related to corporate cash management, is a plus
• Strong team player with an ability to work independently in a collaborative and fast-paced environment
• Fast learner, ability to navigate the organization and get up to speed quickly on key topics
• Ability to forge trusted partnerships with internal firm stakeholders at all levels
• Regulatory background or strong knowledge of applicable regulations (e.g., Payments, Deposits, Credit)
• Excellent communication skills (oral and written) and relationship building abilities
• Working knowledge of Microsoft Office tools: Word, Excel, and PowerPoint