Compliance- Control, Finance and Operating (CF&O) - Corporate Treasury Coverage, Associate, Dallas

Global Compliance

Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.
 

CF&O Compliance - BUSINESS UNIT AND ROLE OVERVIEW

Part of the Global Compliance Division, the firm’s CF&O Compliance team is a global team with responsibility for providing compliance coverage to Corporate Treasury, Engineering, Controllers, Operations, Corporate and Workplace Solutions, Executive Office, Corporate Planning & Management, Risk, Tax and Human Capital Management divisions. This includes:

• Conducting risk identification, measurement, and assessment
• Monitoring for compliance with laws, rules, regulations and policies, including the identification and investigation of conduct related issues
• Participating in firm responses to regulatory examinations, audits and inquiries
• Performing surveillance and investigations of business activities of the above-referenced Federation groups
• Testing the effectiveness of controls
• Writing policies and procedures
• Communicating regulatory requirements and firm policy expectations to educate others both one-on-one and through compliance learning initiatives

ROLE, RESPONSIBILITIES, and QUALIFICATIONS

This role will focus on, but not be limited to, providing Compliance coverage of Corporate Treasury with an emphasis on regulatory and conduct risk in the Americas. As Corporate Treasury Compliance coverage, you will provide real-time compliance guidance to the Corporate Treasury Division holistically and trading-specific compliance guidance to the Corporate Treasury trading group. This includes all relevant rules, regulations and internal policies that govern the Corporate Treasury business. 

A successful candidate will also participate in region-wide and global initiatives to enact the Global Compliance mandate.  

To fulfil this role, you will:

• Provide Compliance coverage for Corporate Treasury functions, including Liquidity Management, Asset Liability Management, Payments, Resource Allocation, Execution (trading), and Operations and Engineering
• Review and challenge Treasury activities (funding, pricing practices, payments processing, cash sweeps, collateral use) for regulatory and conduct risks
• Provide proactive, early‑stage compliance challenge and guidance on new activities, including regulatory impact assessment and control design
• Support the completion of various risk assessment programs impacting Corporate Treasury 
• Perform targeted reviews of Corporate Treasury controls and processes 
• Support the development and analysis of related policies, standards, and processes to ensure compliance with applicable regulations and requirements
• Identify, investigate, and manage compliance issues involving Corporate Treasury; coordinate timely escalation, root-cause analysis, and corrective actions.
• Provide support and guidance to Corporate Treasury in regulatory exams and inquiries; prepare materials and evidence and oversee issue management.
• Brief senior leadership on risks identified and ensure stakeholder engagement 
• Develop and deliver targeted training programs 
• Investigate and liaise with internal stakeholders in relation to conduct issues 
• Coordinate with the broader CF&O Compliance team on initiatives and projects
• Bachelor’s degree or higher
• At least 3 years of Compliance, Legal, Regulatory or Financial Services industry experience
• Knowledge of activities of a Treasury function and