Texas Capital · 2 months ago
Director of Compliance (Broker/Dealer Investment Banking)
Dallas, TX
Full-time
Onsite
Senior Level, Lead/Staff
10+ years expTexas Capital is built to help businesses and their leaders. The Director of Compliance assists the Chief Compliance Officer with the design, development, delivery, and maintenance of the investment bank’s compliance program and acts as a compliance partner to various business divisions.
BankingFinanceFinancial Services
Responsibilities
Design, develop, execute and oversee an effective Compliance Program by enabling the identification, operationalization, and communication of applicable federal and state regulations
Foster an understanding of associated risks across the entire organization and implementation of suitable risk mitigation strategies
Oversee the design and effectiveness of the business (first-line) and independent risk management (second-line) controls to mitigate compliance risks
Act as a trusted advisor, provide advice and guidance to senior management on the implications of compliance trends and issues affecting the firm and partner with senior management to implement the firm's compliance program
Provide guidance to the relevant business (first-line) and independent risk management (second-line) concerning suggested policies, procedures, practices and controls
Update/synchronize the firm’s written policies, procedures and documents including the written supervisory procedures, compliance manual, code of conduct and operational process documents, and participate in testing same
Prepare Firm Element Continuing Education content and deliver to Associated Persons and track staff compliance with Regulatory and Firm Element training requirements
Research applicable new rules or rule changes and implementing policies, procedures or other controls necessary to comply with the rules
Manage a team of subject matter experts from time to time
Drive and influence compliance enhancements at all levels of the business consistent with the enterprise’s risk profile
Act as a key liaison during regulatory exams, internal audits, and independent testing
Assist in the execution of and act as key advisor for the firm’s Regulatory Compliance Risk Assessments
Design and deliver management reporting on KRIs, KPIs, and any significant developments within the COI Program
Prepare and deliver FINRA Firm Element Continuing Education training
Maintain knowledge of applicable rule changes and latest industry guidelines and best practices
Manage departmental expenses and annual budget
Recruit, train, and retain talent within the department
Demonstrate sound judgement and leadership in a fast-paced, dynamic, collaborative, and transformative environment
Manage and execute multiple complex projects within the required timelines
Qualification
Required
Possess a minimum ten (10) years of experience in the financial services industry, specifically, within a broker/dealer operating as an affiliate, subsidiary or division of a bank and/or RIA
Have Knowledge of financial products and services offered by investment bank, particularly FX, swaps and other OTC derivatives, and be a subject matter expert in applicable federal and state securities laws, rules regulations, and those of relevant SROs
Possess excellent oral and written communication, the ability to influence all levels of management and external partners, skills with the ability to dispassionately manage challenging and/or confrontational interaction with firm personnel, clients and regulators
Be Team-orientated, while able to complete tasks independently
Possess experience with equity sales and trading surveillance, market manipulation, trade reporting and responding to related regulatory inquiries
Be Motivated, diligent, conscientious, highly organized, detail-oriented and able to drive tasks to completion
Be Self-motivated, well organized, and detail-oriented so as to handle complex and concurrent assignments
High degree of integrity, strong work ethic, and an ability to work independently while leading a team of compliance professionals
Possess Problem-solving skills, with a strong analytical and data-driven work style
Preferred
Bachelor's degree (preferred in Finance, Accounting, Business, or Analytics, Computer Science); or equivalent combination of education, training, experience
Hold a bachelor's degree in finance, economics, accounting, business administration a plus
Hold Series 3, 7, 9/10, 24, 53, 57 and/or JD a plus
Benefits
Health insurance coverage
Wellness program
Fertility and family building aids
Life and disability insurance
Retirement savings plans with a generous 401K match
Paid leave programs
Paid holidays
Paid time off (PTO)
Company
Texas Capital
Since our founding in 1998, Texas Capital remains impassioned by the spirit of entrepreneurship and innovation.
1001-5000 employees
Funding
Current Stage
Public CompanyTotal Funding
unknown2003-08-13IPO
Leadership Team
David Oman
Chief Risk Officer (CRO)
Vivek Misra
Managing Director & Enterprise Chief Compliance Officer
Recent News
2026-01-22
Company data provided by crunchbase