Compliance, Global Investment Research, Vice President, Dallas

Global Investment Research Division (GIR)

From macroeconomic forecasts to individual stock analysis, GIR develops tools and insights to help shape investment strategies for clients and the firm. GIR analysts work on client-focused research in the equity, fixed-income, currency, and commodities markets, analyzing data that enters markets around the world each day to identify game-changing insights.

RESPONSIBILITIES AND QUALIFICATIONS - HOW YOU WILL FULFILL YOUR POTENTIAL

GIR Compliance officers work closely on a daily basis with research professionals across a broad spectrum of coverage areas to advise on rules and laws impacting research and related areas of the firm. GIR Compliance officers must display initiative, creativity and drive, along with the ability to work closely and comfortably with a diverse group of research professionals, in order to effectively assist the firm in preventing, detecting and mitigating compliance, regulatory and reputational risk. The Americas GIR Compliance team covers GIR professionals in offices across the United States, including Dallas, New York, Houston, San Francisco, and Boston, as well as the firm's office in Sao Paolo, Brazil. The global GIR Compliance team also collaborates closely across regions with team members located in London, Hong Kong, Shanghai, Tokyo, Singapore, India, and Sydney.

• Advisory and Compliance Oversight. Provide advice to the business, including senior management, on regulatory and reputational related matters, and act as a resource on a daily basis for compliance and policy issues.
• Policies and Procedures. Ensure that the division has appropriate policies and procedures in place. Assess, design and drive completion of necessary updates and new policies. Work closely with Legal and the business to fulfill requirements.
• Regulatory Matters. Assist with regulatory examinations, audits and inquiries and analyze regulatory developments in order to formulate practical solutions to industry-wide issues.
• Training. Design, execute and deliver live and online training on divisional policies and procedures.
• Controls/Surveillance/Testing. Create controls, develop surveillance and monitor testing of policies and procedures.
• New Business and Initiatives. Coordinate with the business, Legal, Technology and other divisions across the firm on new initiatives.

REQUIRED EXPERIENCE/SKILLS

• Bachelor's degree or higher, Law or MBA degree a plus, but not required
• Strong oral and written communication skills; ability to communicate confidently and effectively with a diverse audience
• Inquisitive, quick learner who can adapt well to a fluid regulatory and business environment
• Ability to handle multiple tasks simultaneously, and to work effectively in a team
• Organized, detail-oriented, enthusiastic and professional
• Strong project management skills