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Senior Manager/Manager, Compliance Testing

Madison-Davis

Dallas / Fort Worth, TX

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JOB DETAILS
SKILLS
Analysis Skills, Banking Operations, Banking Services, Business Banking, Capital Markets, Communication Skills, Corporate Banking, Corrective Action, Detail Oriented, Documentation, Establish Priorities, Financial Services, Global Financial Markets, Interpersonal Skills, Investment Management, Investment Services, Leadership, Maintain Compliance, Multiplatform/Cross-Platform, Multitasking, Operations Management, Organizational Skills, Presentation/Verbal Skills, Problem Solving Skills, Project/Program Management, Quality Assurance Methodology, Regulations, Regulatory Compliance, Risk, Risk Analysis, Sales, Securities and Exchange Commission (SEC), Spanish Language, Team Lead/Manager, Team Player, Test Design, Test Plan/Schedule, Testing, Time Management, Validation Testing, Writing Skills
LOCATION
Dallas / Fort Worth, TX
POSTED
3 days ago

Our client, a leading global investment banking and capital markets institution, is continuing to expand its U.S. Compliance platform and is seeking experienced Compliance Testing professionals to support the growth of its Global Banking & Markets Compliance function in Dallas.

This role sits within the Compliance Testing team and will focus on executing independent testing engagements across institutional trading, investment banking, and related capital markets activities. The position offers broad exposure to senior leadership, front-office businesses, and enterprise-wide compliance initiatives within a highly regulated global banking environment.



Key Responsibilities
  • Execute compliance testing engagements designed to assess adherence to legal, regulatory, and internal policy requirements across Global Banking & Markets businesses.
  • Design and perform testing procedures to identify potential control gaps, compliance weaknesses, and regulatory risks.
  • Conduct independent reviews across institutional trading, investment banking, corporate banking, and related operational activities.
  • Escalate potential issues, observations, and exceptions identified during testing activities to senior management and key stakeholders.
  • Support remediation tracking and validation efforts to ensure timely corrective action implementation.
  • Prepare and maintain testing workpapers, governance documentation, issue tracking, and testing reports.
  • Assist with enterprise-wide issue management and validation testing initiatives.
  • Contribute to development and execution of the annual Compliance Testing Plan.
  • Align testing methodologies and approaches with key controls, regulatory obligations, and enterprise risk frameworks.
  • Enhance testing procedures, governance documentation, reporting frameworks, and operational efficiencies across the global platform.
  • Lead and manage designated Compliance Testing Officers and serve as a key point of contact for assigned engagements.
  • Provide feedback and oversight throughout testing engagements to ensure quality and consistency prior to submission to senior leadership.
  • Promote a strong culture of compliance, accountability, and operational excellence across the organization.
Qualifications
  • 3 7 years of Compliance, Audit, Regulatory Exam, or related financial services experience.
  • At least 3 years of experience within Compliance Testing, Audit, Monitoring & Testing, or related review functions preferred.
  • Experience supporting institutional trading & sales, investment banking, corporate banking, investment management, or related capital markets businesses preferred.
  • Familiarity with SEC, CFTC, NFA, and related regulatory frameworks impacting global financial institutions.
  • Strong analytical, investigative, and problem-solving skills with attention to detail and sound professional judgment.
  • Ability to quickly assess risks, prioritize issues, and escalate concerns appropriately.
  • Excellent verbal and written communication skills with strong stakeholder management capabilities.
  • Proven ability to manage multiple projects and testing engagements simultaneously within deadline-driven environments.
  • Strong organizational, interpersonal, and collaboration skills.
  • Experience managing compliance testing teams or remote/distributed teams is a plus.
  • Bachelor s degree or equivalent experience required.
  • Spanish language skills are a plus.



About the Company

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Madison-Davis

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