Brief Overview of Position

This is a key advisory position within the Enterprise Compliance Department, responsible for the administration of the firm’s Control Room (CR) and Conflicts of Interest (COI) regulatory compliance programs. The primary responsibilities of this role include (i) execution of relevant programs and (ii) performance of oversight to enable and assess that business processes and controls are compliant with and support adherence to applicable laws, regulations and internal policy, and are designed and effectively performed to manage risks associated with business and personal Conflicts of Interest. This role will also help review the firm’s Equity Research for adherence to FINRA and SEC rule requirements. This position will advise the Equity Research, Equity Capital Markets and Investment Banking groups regarding applicable regulatory requirements and risk related to conflicts of interest.

The role reports to the Texas Capital Director, Control Room and is part of the Compliance Department for Texas Capital.

Responsibilities

• Execute and oversee an effective Conflicts of Interest (COI) Program by enabling the identification, operationalization, and communication of applicable federal and state regulations regarding COIs
• Foster an understanding of associated COI risks across the entire organization and implementation of suitable risk mitigation strategies
• Oversee Control Room maintenance which consists of investment banking deals, MNPI risk mitigation, Watch and Restricted Lists, while acting as a resource for research COI mitigation
• Act as a trusted advisor and a COI subject matter expert to/for internal and external stakeholders

• Provide guidance to the relevant business (1LOD) and independent risk management (2LOD) concerning suggested policies, procedures, practices and controls
• Facilitate the review and approval of Equity Research materials which will include a review Equity Research Reports for applicable disclosures and any potential or actual conflicts due to the firm’s involvement with an issuer on the firm's Watch or Restricted Lists
• Chaperone communications between Investment Bankers and Research Analysts.
• Review of conflict check requests from Investment Banking, Equity Capital Markets, and Corporate Access

• Act as a key resource during regulatory exams, internal audits, and 2LOD testing
• Assist in the execution of and act as key advisor to 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 COI Continuing Education training when and where applicable
• Maintain knowledge of applicable rule changes, latest industry guidelines, and best practices
• Demonstrate sound judgement in a fast-paced, dynamic, collaborative, and transformative environment
• Manage and execute multiple complex projects within the required timelines

Qualifications

• Possess a minimum of 7 years’ securities industry experience at a full-service financial institution and a minimum of 1 year working in a Control Room environment
• Subject matter expert in Equity Research, Conflicts of Interest and/or Control Room compliance
• Familiarity with Control Room technology (Star Compliance ECOI and CCR, Global Relay, etc.)
• Strong knowledge of U.S. securities rules and regulations, specifically, those of the SEC (e.g., Securities Exchange Act of 1934 Section 15(g) and Securities Exchange Act of 1934 Rules 10(b) and 10b-5, Rules 138, 139,) and FINRA (e.g., FINRA Rules 2241 and 2242).   
• Self-motivated, well organized, and detail-oriented so as to handle complex and concurrent assignments
• High degree of integrity, strong work ethic, and an ability to work independently while leading a team of compliance professionals
• Problem-solving skills, with a strong analytical and data-driven work style
• Excellent communication skills and ability to influence stakeholders in management and external partners
• Bachelor’s degree in a related field or equivalent years of experience (required) and an advanced degree in a related field (e.g., law, business or accounting) (preferred)
• Hold applicable industry licenses (Series 7, 63, 24, 16) and certifications (CRCM, CRCP, CFA) (preferred)

The duties listed above are the essential functions, or fundamental duties within the job classification.  The essential functions of individual positions within the classification may differ. Texas Capital Bank may assign reasonably related additional duties to individual employees consistent with standard departmental policy.Texas Capital is an Equal Opportunity Employer.