VP, Risk & Compliance Officer, Broker-Dealer Investment Banking

Texas Capital is built to help businesses and their leaders. Our depth of knowledge and expertise allows us to bring the best of the big firms at a scale that works for our clients, with highly experienced bankers who truly invest in people’s success today and tomorrow.

While we are rooted in core financial products, we are differentiated by our approach. Our bankers are seasoned financial experts who possess deep experience across a multitude of industries.

Equally important, they bring commitment investing the time and resources to understand our clients’ immediate needs, identify market opportunities and meet long-term objectives.

At Texas Capital, we do more than build business success. We build long-lasting relationships.

Texas Capital provides a variety of benefits to colleagues, including 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, and paid time off (PTO).

Headquartered in Dallas with offices in Austin, Fort Worth, Houston, Richardson, Plano and San Antonio, Texas Capital was recently named Best Regional Bank in 2024 by Bankrate and was named to ’ Dallas-Fort Worth metroplex Top Workplaces 2023 and GoBankingRate’s 2023 list of Best Regional Banks.

For more information about joining our team, please visit us at .

Brief Overview

Reporting to Chief Compliance Officer for TCBI Securities, Inc., assists in the design, development, delivery and maintenance of the compliance program for the investment bank, with a focus on municipal advisory, municipal securities underwriting, and compliance with related MSRB, SEC and FINRA rules and regulations.

Responsibilities

• Draft / update / synchronize the firm’s written policies, procedures and documents including the firm’s written supervisory procedures, compliance manual, code of conduct and operational process documents, and participate in testing same.
• Coordinate with the firm’s leadership, registered representatives, associated persons to monitor personnel specific and compliance related requirements (political contributions, outside accounts, personal trade approval, outside business disclosure, gifts and entertainment, etc.).
• Assist with the implementation of the broker-dealer ethics program to support related employee trading activities, OBA’s, political contributions, etc.
• Create Firm Element Continuing Education content and deliver the firm’s continuing education training. Track registered representatives’ compliance with Regulatory and Firm Element training requirements.
• Help prepare and organize materials for internal / external annual audits and regulatory exams.
• Assist with preparation and ensure timely and accurate filings of regulatory reports and responses to regulatory inquiries.
• Research and keep abreast of applicable new rules or rule changes and implementing policies, procedures or other controls necessary to comply with such rule changes.
• Role is performed on-premises at the Dallas, Texas TCBI headquarters.

Qualifications

• Bachelor’s degree in finance, economics, accounting, law or business administration.
• Minimum of 8 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.
• Knowledge of financial products and services offered by investment bank, as well as applicable federal and state securities laws, rules regulations, and those of relevant SROs, including the MSRB.
• Possess excellent oral and written communication skills with the ability to dispassionately manage challenging and / or confrontational interaction with firm personnel, clients and regulators.
• Familiarity with Star Compliance, NetX360, Archer, Bloomberg and Global Relay technology a plus.
• Self-motivated, diligent, collaborative, conscientious, highly organized, detail-oriented and able to drive tasks to completion with minimal oversight.
• Team-orientated, able to complete tasks independently and and ability as to take on varying tasks in a fast-moving dynamic work environment.
• Series 7, 63, 9 / 10, 50, 52, 54, 53, 24 and / or JD a plus.
1 day ago