Compliance, Business Intelligence Group, Associate​/Vice President, Dallas

Role Overview

This role will be hired at either the Associate or Vice President level.

• Conduct legal, regulatory and financial due diligence to assess reputational risk in a variety of transactions and business relationships
• Reputational issues analyzed by BIG include FCPA/anti-bribery compliance, environmental/social responsibility concerns, geo-political risk, financial irregularities, litigation risk, controversial products/services, human rights issues, data privacy, etc.
• Clients include revenue-generating departments across all divisions of the firm, as well as areas within the control side
• Identify and evaluate risk-relevant information from a variety of sources, including but not limited to: online media, proprietary databases, regulatory lists, public filings, litigation records, research reports, various internet sources
• Instruct and liaise with external investigative consultants, evaluate reports and help drive the due diligence process to address risks identified, coordinating with in-house lawyers, external counsel, compliance and business teams. Liaise with internal and external legal counsel on risks which merit further due diligence
• Review and analyze various independent due diligence reports on topics including regulatory compliance, internal controls, environmental impact, etc.
• Analyze risk-relevant portions of financial statements and public filings
• Prepare summary and presentation materials for analysis by relevant business areas and firmwide committees
• Responsible for developing relevant industry/regional expertise and anticipating potential reputational risks
• Other special projects on an ad hoc basis

• 5 or more years of legal/regulatory, accounting, compliance or other financial experience
• Risk assessment skills and experience, preferably involving reputational, legal, regulatory, environmental and general compliance topics.
• Strong technical proficiency - experience in online research and databases preferred
• Excellent analytical and communication skills (both oral and written)
• General experience dealing with the investment banking industry and knowledge of various types of investing and lending transactions
• Additional experience in an ESG (Environmental, Social and Governance) risk-related role is a plus
• Demonstrates a strong sense of intellectual curiosity and interest in current events
• Team player with inherent commercial judgment
• Ability to work effectively in a fast-paced and, at times, high pressure environment
• Strong sense of discretion with respect to highly confidential information
• CPA, CFA, JD/attorney license CFE designations are a plus, but not required
• Preferred, but NOT required: additional language skills

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