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Compliance Law Jobs

Manager, Compliance and Derivatives

Madison-Davis

Texas, TX

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JOB DETAILS
SKILLS
Analysis Skills, Auditing, Banking Services, Brokerage, Business Banking, Capital Markets, Communication Skills, Continuous Improvement, Corrective Action, Derivatives, Documentation, Futures, Global Financial Markets, Insurance Regulations, Internal Audit, Investment Services, Leadership, Legal, Maintain Compliance, Mentoring, Multiplatform/Cross-Platform, Multitasking, People Management, Presentation/Verbal Skills, Problem Solving Skills, Programming Methodologies, Quality Assurance Methodology, Regulations, Regulatory Compliance, Regulatory Requirements, Reporting Skills, Requirements Management, Risk, Risk Analysis, Risk Management, Securities, Spanish Language, Standard Operating Procedures (SOP), Support Documentation, Swap Market, Team Lead/Manager, Test Design, Test Plan/Schedule, Test Strategy, Testing, Trading/Stockbroking, Wholesale Industry, Writing Skills
LOCATION
Texas, TX
POSTED
29 days ago

A leading global financial institution is seeking an experienced Compliance Testing Manager to support and lead independent compliance reviews across capital markets, investment banking, trading, and derivatives businesses. This role will be responsible for evaluating compliance with regulatory requirements, assessing control effectiveness, identifying potential risks, and driving remediation efforts across a diverse range of business activities.

The position offers broad exposure to institutional trading, derivatives, investment banking, futures-related activities, and enterprise compliance governance. The successful candidate will partner closely with Compliance Advisory, Risk, Legal, Audit, and business stakeholders while helping enhance testing methodologies and compliance oversight programs.

RESPONSIBILITIES

Compliance Testing & Risk Assessment
  • Lead and execute risk-based compliance testing engagements across trading, capital markets, derivatives, and banking activities.
  • Assess adherence to regulatory requirements, internal policies, and control frameworks.
  • Design testing strategies, review procedures, sampling methodologies, and work programs.
  • Evaluate key controls and identify potential regulatory, operational, or conduct-related risks.
  • Escalate significant findings, control deficiencies, and compliance concerns to appropriate stakeholders.

Derivatives & Regulatory Compliance Reviews
  • Conduct reviews covering derivatives, swap-related activities, futures businesses, and associated regulatory obligations.
  • Assess compliance with applicable securities, derivatives, and market regulations.
  • Partner with advisory teams to evaluate control environments and regulatory compliance frameworks.
  • Support cross-border testing initiatives and global compliance oversight activities.

Reporting & Issue Management
  • Prepare testing reports, workpapers, findings, and recommendations for management and governance committees.
  • Maintain detailed documentation supporting review conclusions and testing results.
  • Track remediation efforts and validate corrective actions.
  • Support issue management, escalation, and governance reporting processes.

Leadership & Program Development
  • Serve as lead contact for assigned testing engagements and coordinate activities across stakeholders.
  • Review testing documentation and provide guidance to junior testing professionals.
  • Contribute to annual testing plans and risk-based coverage strategies.
  • Enhance testing methodologies, reporting frameworks, governance standards, and operating procedures.
  • Promote a culture of accountability, regulatory compliance, and continuous improvement.

QUALIFICATIONS

QUALIFICATIONS
  • Bachelor's degree required.
  • 5 8 years of experience in Compliance, Internal Audit, Regulatory Examination, Risk Management, or related control functions.
  • At least 3 years of experience conducting compliance testing, audit, assurance, or regulatory review activities.
  • Experience supporting capital markets, institutional trading, derivatives, futures, investment banking, or wholesale banking businesses.
  • Knowledge of regulatory requirements applicable to trading, securities, and derivatives activities.
  • Strong analytical, investigative, and problem-solving skills.
  • Excellent written and verbal communication abilities.
  • Ability to manage multiple priorities and complex projects simultaneously.

PREFERRED EXPERIENCE
  • Experience with derivatives, swap dealer, futures, broker-dealer, or capital markets compliance programs.
  • Background in compliance testing, compliance assurance, internal audit, or regulatory examinations.
  • Experience managing testing teams or mentoring junior professionals.
  • Familiarity with issue management, remediation validation, and governance reporting.
  • Spanish language skills are a plus.
  • Experience working within global or multi-jurisdictional financial institutions.

What This Role Offers
  • Exposure to complex trading, derivatives, and investment banking businesses.
  • Opportunity to influence regulatory compliance and control effectiveness across a global platform.
  • Leadership responsibilities within a highly visible compliance function.
  • Involvement in strategic compliance, governance, and risk management initiatives.
  • Strong long-term growth opportunities within compliance, audit, and regulatory risk leadership.

About the Company

M

Madison-Davis

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