Compliance, GBM Public Compliance, Core Programs Team, Vice President, Dallas

Global Banking & Markets (GBM) Public Compliance is responsible for comprehensively identifying and managing the regulatory, legal, and reputational risks of GBM Public.

Job Summary: 

The Core Programs team within GBM Public Compliance oversees the integrated Compliance Program for GBM Public, globally.  This includes the periodic Compliance Risk Assessment of GBM Public, GBM Public regulatory change management program, governance of GBM Public Policies and Procedures, and the Firmwide Designated Market Activity Risk Assessment. We are looking for a team member to lead the management of strategic program changes related to the assessment of risks and controls. The role will require navigating and problem solving across multiple teams and stakeholders bearing in mind timelines and a senior audience. 

Principal Responsibilities: 

• Oversee GBM Public Compliance involvement in the Risk and Control Self-Assessment (RCSA)
• Oversee the Firmwide Designated Market Activity (DMA) Compliance Challenge 
• Oversee the mapping of controls to regulations for GBM Public Compliance
• Oversee the implementation of strategic initiatives impacting GBM Public Compliance
• Partner with first and second lines of defense to establish and maintain controls across respective divisions; Advise, challenge and influence teams.
• Execute various reporting for senior management (both in excel and PowerPoint)
• Assist in the development and ongoing maintenance of the technology platforms that support the CRA and regulatory change management programs
• Participate in compliance-led projects and represent team on firmwide and cross regional projects and working groups
• Liaise with Compliance, Risk, Technology, Legal and other Federation areas
• Develop reporting to showcase team deliverables
• Deal with ad hoc requests and initiatives

Basic Qualifications:                                                                                                                              

• Bachelor's degree required
• Minimum of 10 years of experience in compliance or risk management in the financial services industry 
• Knowledge of general trading rules and regulations (SEC, FINRA, NYSE, Nasdaq, CBOE, ISE, etc.) preferred
• Experience reading and interpreting regulations, laws and statutes is preferred
• Internal Audit Experience 
• Experience with compliance risk assessments and/or risk and control self-assessments is preferred 
• Strong project management skills
• Detail-oriented and able to produce quality work product, even when working under tight timeframes
• Comfortable being independent and a self-starter
• Ability to decipher and navigate ambiguous situations with the aim of developing solutions
• Ability to exercise strong judgment and decision-making in a collaborative consensus-driven environment 
• Analytical; capable of identifying and distilling relevant information quickly
• Excellent oral and written communication skills
• MS Office proficiency; advanced knowledge of PowerPoint and Excel is preferred