Senior Compliance Advisory VP – Hybrid (Remote 1 Day)

Intrepid Investment Bankers LLC; Irving (TX); Hybrid; USD 133,000 - 175,000; Full time

Job summary

Intrepid Investment Bankers LLC in Irving, TX, is seeking a Compliance Advisory Vice President to support regulatory compliance, market surveillance, governance, and regulatory change management across MUFG entities, including cross-border affiliates. The role liaises with Compliance, Regulatory Affairs, Operations, and Business stakeholders to provide guidance and manage programs.

The ideal candidate will possess strong knowledge of U.S.

Qualifications

• Strong knowledge of U.S. securities regulations and market conduct surveillance frameworks.
• Experience building and guiding compliance programs, governance, and reporting processes.
• Ability to manage multiple regulatory obligations in a dynamic environment.

Responsibilities

• Provide regulatory advisory and governance support for compliance matters and systems.
• Participate in audits, examinations, testing activities, and regulatory inquiries.
• Manage annual disclosures and reporting obligations (e.g., Form 600-H, Rule 13H).
• Coordinate policy governance, WSP updates, and annual rule reporting.
• Monitor regulatory developments and maintain change trackers; prepare summaries for leadership.

Skills

Regulatory compliance

Market surveillance

Governance

Regulatory reporting

Audit support

Tools

TRACE reporting systems

WSPs governance

TPCRM

RIM

Job description

Intrepid Investment Bankers LLC in Irving, TX, is seeking a Compliance Advisory Vice President to support regulatory compliance, market surveillance, governance, and regulatory change management across MUFG entities, including cross-border affiliates. The role liaises with Compliance, Regulatory Affairs, Operations, and Business stakeholders to provide guidance and manage programs.

The ideal candidate will possess strong knowledge of U.S.