Compliance Specialist
Madison-Davis, LLC, Dallas, TX, United States
A well-established financial services firm to support their search for a Compliance Specialist to join their Compliance team. The organization is known for its strong regulatory framework and disciplined compliance culture, and this role plays an important part in supporting key compliance operations.
The Compliance Specialist will provide day-to-day administrative and operational support across the Compliance Department, serving as a central administrator for employee disclosures, regulatory documentation, and books and records. This individual will develop subject matter expertise within their assigned areas while enhancing processes and ensuring regulatory adherence.
Overview
Lead and enhance the firm-wide Volcker Rule Compliance program, providing stakeholders with guidance on regulatory requirements, industry trends, and best practices. Deliver second-line oversight through program reviews, monitoring protocols, and other compliance controls. Build strong relationships across the Volcker Office, business lines, operations, and support functions to drive governance, reporting, and process improvements. Draft interpretive memoranda, maintain policies and procedures, and develop/deliver Volcker compliance training. Support regulatory exams, internal investigations, and audits, providing guidance on remediations and responding to stakeholder inquiries.
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Lead and enhance the firm-wide Volcker Rule Compliance program, providing stakeholders with guidance on regulatory requirements, industry trends, and best practices. Deliver second-line oversight through program reviews, monitoring protocols, and other compliance controls. Build strong relationships across the Volcker Office, business lines, operations, and support functions to drive governance, reporting, and process improvements. Draft interpretive memoranda, maintain policies and procedures, and develop/deliver Volcker compliance training. Support regulatory exams, internal investigations, and audits, providing guidance on remediations and responding to stakeholder inquiries.
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