Investment Management Firm

DOE

Dallas, TX

• Execute departmental strategy at the direction of the Director, Risk Management.
  
  
• Specifically audit the trading activities of the Capital Markets organization, including their review of audit reports and registered representative supervision.
  
  
• Execute departmental objectives by directing the actions of Operations, Information Technology, Compliance, Regulatory Principals, and other departments as necessary.
  
  
• Communicate departmental strategic and tactical objectives with staff, peers, management and executive officers.
  
  
• Regularly communicate results to staff, peers, management and executive officers.
  
  
• At the direction of the Director, Risk Management, work with departmental supervisors to implement internal controls.
  
  
• Deliver training to Operations, Information Technology, Compliance, Regulatory Principals and other departments with the assistance of Staff Learning & Development Organization.
  
  
• Create internal controls.
  
  
• Develop committees and workgroups.
  
  
• Perform audits of business.

• Securities licensing, generally 7, 24, 66 or equivalent.
  
  
• 3 or more years of experience in Regulatory Compliance or its equivalent.
  
  
• Experience with Operations, Trading and Information Technology processes and concepts.
  
  
• Familiarity with National Financial systems and processes.

SKILLS

• Excellent verbal and written communication skills required.
  
  
• Demonstrated human influence skills and ability to lead the work of others.
  
  
• Must have strong computer skills, including proficiency in Excel.
  
  
• Detailed knowledge of FINRA and SEC regulation.
  
  
• Detailed knowledge of trading systems and processes.
  
  
• Basic knowledge of DOL and IRS regulation.
  
  
• Must be able to maintain the highest level of confidentiality