Sign upLog in
Compliance Law Jobs

Compliance Manager ? Control Room

Madison-Davis

Dallas / Fort Worth, TX

Apply
JOB DETAILS
SKILLS
Administrative Skills, Analysis Skills, Best Practices, Brokerage, Capital Markets, Communication Skills, Conflict Resolution, Documentation, Employee Orientation, Global Financial Markets, Investment Services, Leadership, Legal, Legal Research, Loans, Maintain Compliance, Market Research, Marketing Strategy, Mergers and Acquisitions, People Management, Presentation/Verbal Skills, Quality Assurance Methodology, Record Keeping, Regulations, Regulatory Compliance, Regulatory Requirements, Risk, Securities, Strategic Planning, Surveillance, Testing, Training/Teaching, Writing Skills
LOCATION
Dallas / Fort Worth, TX
POSTED
30+ days ago

A global financial institution is seeking an experienced Compliance professional to support its Control Room and Investment Banking Compliance function. This role will provide regulatory guidance and oversight across advisory, capital markets, lending, and research activities, while helping manage information barriers, restricted lists, conflicts of interest, and other sensitive compliance matters.

The successful candidate will work closely with investment banking, capital markets, research, legal, and compliance stakeholders to ensure adherence to regulatory requirements, internal policies, and industry best practices. This position offers significant exposure to live transactions, deal activity, regulatory matters, and senior business leadership.

RESPONSIBILITIES

Control Room & Information Barrier Oversight
  • Manage and maintain restricted securities lists, watchlists, and related information barrier controls.
  • Evaluate transactions, corporate events, and confidential matters to determine appropriate restrictions and control measures.
  • Provide guidance regarding information barrier requirements, confidentiality obligations, and conflicts management.
  • Support the administration and monitoring of sensitive information controls across business activities.

Investment Banking & Capital Markets Compliance
  • Provide real-time compliance advisory support to investment banking, capital markets, lending, and advisory businesses.
  • Review transactions, strategic initiatives, and business activities for regulatory and compliance considerations.
  • Advise stakeholders on applicable securities regulations, market conduct requirements, and internal policies.
  • Support deal-related compliance reviews and assist with escalations involving complex regulatory matters.

Monitoring, Surveillance & Governance
  • Monitor communications and business activities to assess compliance with regulatory requirements and firm standards.
  • Review and investigate potential compliance concerns, escalating issues when appropriate.
  • Assist in the development and execution of compliance monitoring, testing, and surveillance activities.
  • Maintain documentation, records, policies, and procedures supporting compliance oversight programs.

Regulatory & Stakeholder Engagement
  • Respond to regulatory inquiries and support examinations, audits, and reviews.
  • Provide training and guidance to employees regarding compliance obligations and regulatory expectations.
  • Collaborate with Legal, Risk, Research, Compliance, and business leadership on governance initiatives and policy enhancements.
  • Participate in strategic projects, regulatory change initiatives, and industry working groups as appropriate.

QUALIFICATIONS

QUALIFICATIONS
  • Strong understanding of capital markets, investment banking, lending, advisory services, and securities industry practices.
  • Knowledge of regulatory requirements governing securities activities, information barriers, conflicts management, and market conduct.
  • Experience within Compliance, Control Room, Investment Banking Compliance, Capital Markets Compliance, or a related function.
  • Excellent analytical, critical-thinking, and decision-making skills.
  • Strong written and verbal communication abilities.
  • Ability to manage confidential information with discretion and professionalism.
  • Proven ability to work effectively under pressure in a fast-paced environment.

PREFERRED EXPERIENCE
  • Experience supporting mergers and acquisitions, capital raising activities, lending transactions, research, or advisory businesses.
  • Familiarity with restricted list management, watchlist administration, and information barrier frameworks.
  • Experience interacting with regulators, auditors, and senior business stakeholders.
  • Knowledge of compliance monitoring, surveillance, and testing methodologies.
  • Prior experience within an investment bank, broker-dealer, or capital markets organization.

What This Role Offers
  • Direct exposure to live transactions, capital markets activities, and strategic business initiatives.
  • Opportunity to serve as a trusted advisor to investment banking and capital markets professionals.
  • Involvement in complex regulatory, conflicts, and information barrier matters.
  • Broad visibility across Compliance, Legal, Risk, Research, and front-office teams.
  • Strong career development opportunities within investment banking compliance and control room functions.

About the Company

M

Madison-Davis

Resume Resources

Free Resume TemplatesFree Resume Builder

Similar Job Searches

Compliance Coordinator Jobs in Dallas, TXCompliance Officer Jobs in Dallas, TXCompliance Investigator Jobs in Dallas, TXCompliance Manager Jobs in Plano, TXRemote Legal JobsEntry Level Legal Jobs