Compliance, ECO Risk Management, Vice President, Dallas

JOB DESCRIPTION

Enterprise Compliance Office – Risk Management is a team within Global Compliance responsible for implementing and maintaining the firm's integrated regulatory compliance program, including risk assessments, regulatory change management, policies, and training. This team is at the forefront of aligning our firm’s compliance program with applicable laws, rules, regulations and evolving regulatory expectations. We are looking for a legal or regulatory practitioner to drive our mission forward by applying legal analysis, regulatory subject matter expertise and sound judgment to the design, execution and governance of firmwide regulatory inventory and compliance risk management processes. The role requires excellent communication skills, close collaboration across Compliance, Legal, Risk, Engineering and business stakeholders, and the ability to translate complex regulatory requirements into clear, actionable program requirements for senior audiences.

RESPONSIBILITIES AND QUALIFICATIONS

Principal Responsibilities:

• Support the design, implementation and ongoing management of a strategic, sustainable firmwide regulatory inventory process for in-scope laws, rules and regulations (“LRRs”)

• Apply legal and regulatory judgment to assess LRR scope, applicability, issuing authority, enforceability and materiality in accordance with program standards

• Review, draft and challenge plain-language LRR and obligation summaries to promote accurate, consistent and actionable understanding of regulatory requirements

• Support regulatory inventory governance routines across Compliance and the firm, including preparation of senior-level materials, decision papers and escalation content

• Manage inventory content, including scope, regulatory source data, citations, summaries, attributes and connectivity with firmwide systems, policies, controls and risk taxonomies

• Partner with Legal, Compliance, Risk and business stakeholders to interpret regulatory requirements and assess implications for the firm’s products, services, jurisdictions, regulated activities and control environment

• Align the regulatory inventory process with the broader regulations management strategy, including regulatory change management, traceability, policy mapping and compliance risk assessment objectives

• Identify opportunities to enhance legal and regulatory analysis through improved process design, data quality, automation, AI tooling and sustainable governance controls

• Support responses to regulatory examinations, inquiries, internal audit reviews and other oversight activities by developing clear, well-supported explanations of program design, standards and execution

Qualifications:

• 5+ years of experience in financial services, legal, regulatory, compliance, risk management or a comparable control function

• Bachelor’s degree required; JD, LLM or equivalent legal/regulatory qualification strongly preferred

• Demonstrated experience reviewing, interpreting and applying laws, rules, regulations, regulatory guidance or supervisory expectations in a financial services environment

• Strong understanding of compliance risk management program mandates, regulatory inventory, regulatory change, policy governance, controls and/or obligations management

• Ability to distill complex legal and regulatory requirements into concise, practical and actionable summaries for business, Compliance and senior management audiences

• Excellent analytical, problem-solving, critical-thinking and written communication skills, with strong attention to detail and a proven track record of execution against deadlines

• Sound judgment and professional maturity, including the ability to identify issues, escalate appropriately and provide credible challenge in a collaborative environment

• Exceptional communication and relationship-building skills, including frequent interaction with Legal, Compliance, Risk, business and senior stakeholders

• Ability to manage multiple time-sensitive priorities, operate independently and demonstrate resiliency and creativity under pressure

• MS Office proficiency; advanced knowledge of PowerPoint and Excel preferred

• Comfort using AI tooling and data-enabled approaches to support legal, regulatory and analytical reviews