Director of Compliance (Broker / Dealer Investment Banking)

Texas Capital is built to help businesses and their leaders. Our depth of knowledge and expertise allows us to bring the best of the big firms at a scale that works for our clients, with highly experienced bankers who truly invest in people’s success — today and tomorrow.

While we are rooted in core financial products, we are differentiated by our approach. Our bankers are seasoned financial experts who possess deep experience across a multitude of industries. Equally important, they bring commitment — investing the time and resources to understand our clients’ immediate needs, identify market opportunities and meet long-term objectives. At Texas Capital, we do more than build business success. We build long-lasting relationships.

Texas Capital provides a variety of benefits to colleagues, including health insurance coverage, wellness program, fertility and family building aids, life and disability insurance, retirement savings plans with a generous 401K match, paid leave programs, paid holidays, and paid time off (PTO).

Headquartered in Dallas with offices in Austin, Fort Worth, Houston, Richardson, Plano and San Antonio, Texas Capital was recently named Best Regional Bank in 2024 by Bankrate and was named to ’ Dallas-Fort Worth metroplex Top Workplaces 2023 and GoBankingRate’s 2023 list of Best Regional Banks. For more information about joining our team, please visit us at .

Brief Overview of Position

Reporting to Chief Compliance Officer (CCO) for TCBI Securities, Inc., the Director of Compliance assists the CCO with the design, development, delivery and maintenance of the investment bank’s overall compliance program and acts as an independent compliance partner to the business divisions within the investment bank including sales and trading, M&A advisory, capital markets, municipal finance, swaps / derivatives / FX, equity research and operations. As a senior member of the Investment Bank’s compliance team, the Director of Compliance Officer will be actively engaged with multiple businesses lines to provide compliance advice, monitoring and oversight of the firm’s compliance program.

This position is an on-premises role at the firm’s Dallas, Texas headquarters.

Responsibilities

• Design, develop, execute and oversee an effective Compliance Program by enabling the identification, operationalization, and communication of applicable federal and state regulations
• Foster an understanding of associated risks across the entire organization and implementation of suitable risk mitigation strategies
• Oversee the design and effectiveness of the business (first-line) and independent risk management (second-line) controls to mitigate compliance risks
• Act as a trusted advisor, provide advice and guidance to senior management on the implications of compliance trends and issues affecting the firm and partner with senior management to implement the firm's compliance program.
• Provide guidance to the relevant business (first-line) and independent risk management (second-line) concerning suggested policies, procedures, practices and controls
• Update / synchronize the firm’s written policies, procedures and documents including the written supervisory procedures, compliance manual, code of conduct and operational process documents, and participate in testing same.
• Prepare Firm Element Continuing Education content and deliver to Associated Persons and track staff compliance with Regulatory and Firm Element training requirements.
• Research applicable new rules or rule changes and implementing policies, procedures or other controls necessary to comply with the rules.
• Manage a team of subject matter experts from time to time
• Drive and influence compliance enhancements at all levels of the business consistent with the enterprise’s risk profile
• Act as a key liaison during regulatory exams, internal audits, and independent testing
• Assist in the execution of and act as key advisor for the firm’s Regulatory Compliance Risk Assessments
• Design and deliver management reporting on KRIs, KPIs, and any significant developments within the COI Program
• Prepare and deliver FINRA Firm Element Continuing Education training
• Maintain knowledge of applicable rule changes and latest industry guidelines and best practices
• Manage departmental expenses and annual budget
• Recruit, train, and retain talent within the department
• Demonstrate sound judgement and leadership in a fast-paced, dynamic, collaborative, and transformative environment
• Manage and execute multiple complex projects within the required timelines

Qualifications