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Risk and Compliance Officer

2 months ago

Dallas, Texas, United States Texas Capital Bank Full time
About the Role

We are seeking a highly skilled Risk and Compliance Officer to join our team at Texas Capital Bank. As a key member of our compliance program, you will play a critical role in ensuring the bank's adherence to regulatory requirements and industry standards.

Key Responsibilities
  • Design, develop, and maintain the bank's compliance program, with a focus on municipal advisory, municipal securities underwriting, and related MSRB, SEC, and FINRA rules and regulations.
  • Draft, update, and synchronize the bank's written policies, procedures, and documents, including the compliance manual, code of conduct, and operational process documents.
  • Coordinate with leadership, registered representatives, and associated persons to monitor personnel-specific and compliance-related requirements, including political contributions, outside accounts, personal trade approval, outside business disclosure, gifts, and entertainment.
  • 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 bank's continuing education training, tracking registered representatives' compliance with regulatory and firm element training requirements.
  • Help prepare and organize materials for internal and 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 stay up-to-date on applicable new rules or rule changes, implementing policies, procedures, or other controls necessary to comply with such rule changes.
Requirements
  • 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 banks, as well as applicable federal and state securities laws, rules, regulations, and those of relevant SROs, including the MSRB.
  • Excellent oral and written communication skills, with the ability to dispassionately manage challenging and/or confrontational interactions 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 able 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.
About Texas Capital Bank

Texas Capital Bank is a leading financial institution that provides a variety of benefits to its colleagues, including health insurance coverage, wellness programs, 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 Bank was recently named Best Regional Bank in 2024 by Bankrate and was named to The Dallas Morning News' Dallas-Fort Worth metroplex Top Workplaces 2023 and GoBankingRate's 2023 list of Best Regional Banks.