A global financial institution is seeking an experienced Compliance Testing professional to support and lead independent compliance reviews across capital markets, investment banking, and related financial services activities. This role will be responsible for executing risk-based testing engagements, evaluating control effectiveness, identifying regulatory risks, and driving remediation efforts across a diverse portfolio of business lines.
The successful candidate will partner with Compliance, Risk, Audit, and business stakeholders to strengthen the organization's compliance framework and ensure adherence to regulatory requirements, internal policies, and governance standards.
RESPONSIBILITIES
Compliance Testing & Risk Assessment
Lead and execute risk-based compliance testing engagements across trading, banking, advisory, and operational activities.
Assess compliance with applicable laws, regulations, internal policies, and control frameworks.
Develop testing scopes, methodologies, sampling approaches, and work programs designed to identify regulatory and control risks.
Evaluate the effectiveness of key controls and identify areas requiring remediation or enhanced oversight.
Escalate significant findings, risks, and exceptions to appropriate stakeholders.
Reporting & Issue Management
Prepare testing reports, observations, and recommendations for management and governance committees.
Maintain detailed workpapers, supporting evidence, and testing documentation.
Track identified findings and support remediation efforts through validation and closure.
Assist with issue management processes, including reporting, escalation, and governance oversight.
Leadership & Stakeholder Engagement
Serve as a lead contact for assigned testing engagements and coordinate activities across multiple stakeholders.
Provide guidance, coaching, and quality review support to testing professionals and junior team members.
Build strong working relationships across Compliance, Risk, Audit, Legal, Operations, and business teams.
Foster a culture of accountability, collaboration, and continuous improvement.
Program Enhancement & Governance
Contribute to the development and execution of annual compliance testing plans.
Support enhancements to testing methodologies, governance frameworks, procedures, and reporting standards.
Align testing activities with regulatory obligations, risk assessments, and control inventories.
Participate in strategic initiatives focused on improving compliance oversight and operational effectiveness.
QUALIFICATIONS
QUALIFICATIONS
Bachelor's degree required.
3 7 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 reviews, assurance activities, or regulatory assessments.
Experience supporting capital markets, investment banking, institutional trading, corporate banking, or related financial services businesses.
Familiarity with regulatory frameworks governing financial institutions and capital markets activities.
Strong analytical, investigative, and critical-thinking skills.
Excellent written and verbal communication abilities.
Proven ability to manage multiple priorities and deadlines in a fast-paced environment.
PREFERRED EXPERIENCE
Experience within Compliance Testing, Compliance Assurance, Internal Audit, Regulatory Affairs, or Risk & Controls functions.
Knowledge of securities, derivatives, trading, investment banking, or wholesale banking products and services.
Experience managing testing engagements, issue remediation, or governance initiatives.
Prior leadership, mentoring, or team management experience.
Spanish language proficiency is a plus.
Experience working with globally distributed teams and stakeholders.
What This Role Offers
Broad exposure to investment banking, capital markets, and institutional trading businesses.
Opportunity to influence compliance oversight and regulatory risk management practices.
Significant interaction with senior stakeholders across Compliance, Risk, Audit, and business leadership.
Involvement in strategic compliance initiatives and global governance programs.
Strong pathway toward leadership opportunities within compliance, audit, and risk management functions.
Numbers & Facts
Location
Dallas / Fort Worth, TX
Skills
Analysis Skillsunmatched
Auditingunmatched
Banking Servicesunmatched
Capital Marketsunmatched
Coachingunmatched
Communication Skillsunmatched
Continuous Improvementunmatched
Corporate Bankingunmatched
Derivativesunmatched
Documentationunmatched
Financial Regulationsunmatched
Financial Servicesunmatched
Global Financial Marketsunmatched
Internal Auditunmatched
Inventory Managementunmatched
Investment Servicesunmatched
Leadershipunmatched
Legalunmatched
Maintain Complianceunmatched
Mentoringunmatched
Multitaskingunmatched
Operational Strategyunmatched
People Managementunmatched
Presentation/Verbal Skillsunmatched
Quality Assurance Methodologyunmatched
Regulationsunmatched
Regulatory Complianceunmatched
Regulatory Requirementsunmatched
Reporting Skillsunmatched
Riskunmatched
Risk Analysisunmatched
Risk Managementunmatched
Securitiesunmatched
Spanish Languageunmatched
Strategic Planningunmatched
Team Lead/Managerunmatched
Team Playerunmatched
Test Plan/Scheduleunmatched
Testingunmatched
Time Managementunmatched
Wholesale Industryunmatched
Writing Skillsunmatched
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