Texas Capital Bancshares

1 month ago

Compliance Officer, Broker-Dealer Investment Banking

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 3 hours agoStatus: Live

Job Summary

Lead the firm’s 2LOD compliance program for the investment bank, designing and maintaining policies, procedures, monitoring controls, testing frameworks, and remediation protocols. Oversee compliance exception handling and investigations, and serve as the primary relationship manager with SEC and FINRA examination teams. Manage exam readiness, corrective action plans, trading and derivatives surveillance requirements, and associated training and advisory updates.

Location: Dallas

Workplace: Onsite

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Seniority: Mid level

Key Responsibilities

•Design and maintain the firm’s compliance program architecture, including policies, procedures, monitoring controls, testing frameworks, and remediation protocols.
•Exercise authority over compliance exceptions and escalations, including initiating investigations and enforcing policies consistently across business lines.
•Serve as primary relationship manager with SEC and FINRA examination teams, leading responses to inquiries, comment letters, and examination findings.
•Research and implement SEC and FINRA supervisory and communication requirements, and keep current with rule changes and emerging regulatory expectations.
•Oversee trading and derivatives surveillance, review trade reporting accuracy, manage corrective actions, and deliver compliance continuing education.

Pay and Benefits

Perks:Health InsuranceWellness StipendLife InsuranceDisability Insurance401kPaid LeavePaid HolidaysFertility Benefits

Key Requirements

•Bachelor’s degree (preferred in Finance, Accounting, Business, Analytics, or Computer Science) or an equivalent combination of education, training, and experience.
•Minimum 7 years of progressive compliance experience within a broker/dealer or Registered Investment Advisor environment.
•Deep knowledge of SEC and FINRA regulations, supervisory requirements, and examination standards, with experience implementing compliance controls and procedures.
•Significant experience with equity and/or derivatives trading surveillance, market abuse/manipulation detection, trade reporting, and regulatory inquiry response.
•Required: Series 24, 7, and 63 (preferred additional Series 3, 7, 57, and 53).

Experience:7+ yearsBroker-dealerRegistered Investment Advisor

Education:Bachelor's

Skills:Strategic thinkingLeadershipIndependent decision-makingRegulatory acumenAnalytical thinking

Licenses:Series 24Series 7Series 63

Tech Stack:MS Office

Company Brief

Texas Capital Bancshares

Industry: Banking

Website

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Texas Capital Bancshares

1 month ago

Compliance Officer, Broker-Dealer Investment Banking

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 3 hours agoStatus: Live

Job Summary

Location: Dallas

Workplace: Onsite

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Seniority: Mid level

Key Responsibilities

•Design and maintain the firm’s compliance program architecture, including policies, procedures, monitoring controls, testing frameworks, and remediation protocols.
•Exercise authority over compliance exceptions and escalations, including initiating investigations and enforcing policies consistently across business lines.
•Serve as primary relationship manager with SEC and FINRA examination teams, leading responses to inquiries, comment letters, and examination findings.
•Research and implement SEC and FINRA supervisory and communication requirements, and keep current with rule changes and emerging regulatory expectations.
•Oversee trading and derivatives surveillance, review trade reporting accuracy, manage corrective actions, and deliver compliance continuing education.

Pay and Benefits

Perks:Health InsuranceWellness StipendLife InsuranceDisability Insurance401kPaid LeavePaid HolidaysFertility Benefits

Key Requirements

•Bachelor’s degree (preferred in Finance, Accounting, Business, Analytics, or Computer Science) or an equivalent combination of education, training, and experience.
•Minimum 7 years of progressive compliance experience within a broker/dealer or Registered Investment Advisor environment.
•Deep knowledge of SEC and FINRA regulations, supervisory requirements, and examination standards, with experience implementing compliance controls and procedures.
•Significant experience with equity and/or derivatives trading surveillance, market abuse/manipulation detection, trade reporting, and regulatory inquiry response.
•Required: Series 24, 7, and 63 (preferred additional Series 3, 7, 57, and 53).

Experience:7+ yearsBroker-dealerRegistered Investment Advisor

Education:Bachelor's

Skills:Strategic thinkingLeadershipIndependent decision-makingRegulatory acumenAnalytical thinking

Licenses:Series 24Series 7Series 63

Tech Stack:MS Office

Company Brief

Texas Capital Bancshares

Industry: Banking

Website