Title: Compliance Testing Manager
Location: Dallas, TX 75219| 3-4 days  onsite/week
Duration: 12 months

Purpose of Job:

• Contributes to the overall success of the GBM&T Compliance Department in the U.S. ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives. Ensures all activities conducted are following governing regulations, internal policies and procedures.
• The primary responsibility of this position is to support compliance testing for Client's U.S. operations.
• The U.S. Compliance Testing Program covers U.S. regulations applicable to all of client's U.S. broker-dealer (including internal inspections), banking, swap dealer, futures commission merchant, investment management activities, corporate functions, cross-border testing engagements and other financial services activities. Members of the testing team may be assigned to conduct testing with respect to these business activities.

 
 
Major Accountabilities:

• Support Compliance Testing Program in conducting reviews based upon the regulatory requirements, processes, policies, procedures to assess controls within the first and second lines of defense.
• Understand the applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations.
• Assist team in responding to regulatory inquiries, initiatives, audits and examinations.
• Support reviews through the planning/scoping, fieldwork and reporting phases.
• Escalate potential issues and exception items noted during the review process to senior management.
• Ensure that the stakeholders respond with appropriate action to address all draft recommendations and deficiencies noted during the fieldwork process.
• Perform required administrative responsibilities in support of testing, including but not limited to:
  • Preparing and entering all issues and observations into central repository.
  • Prepare and distribute testing reports to senior management detailing review findings and recommendations.
  • Prepare Workpapers documenting testing with enough detail that a third party can reasonably understand.
• Provide assistance with the Team’s collective issues management and validation testing efforts.
• Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
• Building and managing relationships with stakeholders across the business and peers within compliance.

 
Education / Work Experience / Designations: (Knowledge/Skills required to successfully perform the accountabilities)

• A minimum of 5 years of compliance, audit or regulatory exam support experience with at least 3 of which should involve compliance testing or audit.
• Experience/background in compliance applicable to broker-dealer internal inspections, institutional trading & sales, investment banking, futures commission merchant, swap dealer activities, commercial banking, investment management, and corporate functions within investment or commercial bank or institutional broker-dealer is preferred.
• Familiarity with applicable SEC, FINRA, CFTC, NFA, Federal Reserve and state banking rules applicable to international banks conducting institutional trading & sales, investment banking, investment management, and
• commercial banking in the U.S.
• Strong attention to detail.
• Ability to communicate well across all levels of an organization.
• Strong ability to manage multiple compliance reviews and projects at the same time and meet timely
• deadlines.
• Strong written and verbal communication skills.
• Ability to work independently.
• Excellent teamwork, interpersonal and conflict resolution skills.
• Highly organized and capable of dealing with complex projects.
• BA or international equivalent.

 
 
At SPECTRAFORCE, we are committed to maintaining a workplace that ensures fair compensation and wage transparency in adherence with all applicable state and local laws. This position’s starting pay is: $ 61.59/hr.