Compliance Specialist

Madison-Davis, LLC; Dallas (TX); On-site; USD 60,000 - 80,000; Full time

Job summary

A financial services firm is seeking a Compliance Specialist to support their Compliance team in Dallas, Texas. The role involves enhancing the Volcker Rule Compliance program, providing regulatory guidance, and maintaining compliance documentation. The ideal candidate should have a Bachelor’s degree and a solid understanding of financial compliance regulations. This position offers the opportunity to play a vital role in the firm’s regulatory adherence and operational excellence.

Qualifications

• Experience in compliance roles within financial services.
• Familiarity with regulatory requirements related to financial compliance.
• Detail-oriented with strong organizational skills.

Responsibilities

• Lead and enhance the Volcker Rule Compliance program.
• Provide guidance on regulatory requirements and best practices.
• Maintain policies and procedures for compliance training.

Skills

Regulatory compliance knowledge

Strong communication skills

Analytical skills

Education

Bachelor's degree in Finance, Business, or related field

Job description

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.