TRC Staffing Hiring for Compliance Director Job at Dallas, TX Full Time

TRC seeks a Compliance Director for a leading financial firm in Dallas, TX. This is a full time, hybrid role.

The purpose of this role is to ensure employees and clients are in compliance with the rules
and regulations of regulatory agencies, that company policies and procedures are being followed, and that
behavior in the organization meets the company’s Standards of Conduct.

Primary Duties:
Ensures corporate policies are accurate, current and in compliance with federal and state regulations.
Reviews and updates policies as laws change
Interprets and disseminates information on regulatory matters
Responsible for internal and external supervision and regulatory programs
Protects the firm and its client by establishing compliance standards; anticipating emerging compliance
trends; designing improvements to internal control structure
Maintains strong regulatory knowledge of subject matter, products and services, and business
processes relevant to their function and area of coverage
Understands the Firm’s business and identifies opportunities for improvements and for Compliance to
make positive contributions
Participates in the development of strategic goals for their function and develops and executes
accordingly
Collaborates with other departments (e.g., Information Technology, Accounting, Marketing, etc.) to direct
compliance issues to appropriate existing channels for investigation and resolution. Consults with the
Corporate attorney as needed to resolve difficult legal compliance issues
Monitors, and as necessary, coordinates compliance activities of other departments to remain abreast of
the status of all compliance activities and to identify trends
Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action
plans for resolution of problematic issues and provides general guidance on how to avoid or deal with
similar situations in the future

Supervision: Direct reports

Education and Experience:
Minimum of 10 of experience in control-related function in the financial services industry
Significant experience in compliance and risk management
Bachelor’s degree required
Knowledge/Skills/Certifications:
Project Management skills
Ability to be strategic and creative
Good organizational skills and strong attention to detail
In-depth knowledge of financial services’ state and federal regulations
Ability to communicate both verbally and in writing in a professional and effective way
Excellent analytical skills
Knowledge of Salesforce
Works independently using sound judgment with little day to day supervision on complex projects
Effectively collaborates on projects and initiatives and builds relationships within the compliance
departments as well as with business partners
Skilled presenter with the ability to speak on multiple topics
Ability to discern relative risks to firm when analyzing potential business solutions
Ability to understand how legal policy decisions in connection with business unit projects and initiatives
may affect other business units across the company, and reconciles these situations by collaborating
with appropriate parties

Licenses Required: Series 7, 24, 66, 4 and/or 53 preferred; Options Principal – Optional, Muni Principal –
Optional

TRC Staffing is proud to be an Equal Opportunity Employer (EOE). All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, age, national origin, protected veteran status, disability status, sexual orientation, gender identity or expression, marital status, genetic information, or any other characteristic protected by law.