Compliance Specialist, Finance & Banking

Role: Compliance Specialist

Location: Houston, TX

Pay: $85,000 - $94,000 / year

Benefits: This role is eligible for health, vision, dental, 401k match, profit sharing and 12% bonus.

• Lead risk-based third-party due diligence reviews for customers, vendors, brokers, agents, contractors, and other counter parties across the organization.
• Conduct enhanced due diligence (EDD) reviews for higher-risk counter parties, including international entities, state-owned enterprises, and entities with complex ownership structures.
• Analyze information related to ownership, control, beneficial owners, sanctions exposure, corruption risk, and reputational risk
  .
• Evaluate and document due diligence findings, risk ratings, and mitigation recommendations in accordance with internal policies and procedures.
• Review and assess incomplete or alternative documentation when standard information (e.g., tax forms, organizational charts) is unavailable, applying a defensible, risk-based approach.

• Support the organization’s Ethics & Compliance Program by ensuring third-party engagements align with internal codes of conduct, anti-bribery and anti-corruption (ABAC) principles, and regulatory requirements.
• Partner with Legal and Compliance leadership to identify appropriate risk mitigation measures
  , including contractual controls, certifications, audit rights, and ongoing monitoring.
• Assist with maintaining and enhancing third-party compliance policies, procedures, and due diligence workflows.

• Serve as a primary point of contact for business teams regarding third-party onboarding, vendor setup, and counter party clearance questions.
• Provide clear, practical compliance guidance to internal stakeholders while enabling business operations.
• Communicate due diligence outcomes and requirements in a concise, business-focused manner.
• Participate in cross-functional discussions involving business, operational, and corporate support teams.

• Act as a lead or mentor to junior compliance team members supporting third-party due diligence activities.
• Review work products prepared by other analysts to ensure accuracy, consistency, and compliance with program standards.
• Identify trends, gaps, or recurring issues in third-party risk and recommend program enhancements.
• Support audits, internal reviews, and regulatory inquiries related to third-party compliance.
• Assist with training and awareness efforts related to third-party risk and ethics expectations.

• Bachelor’s degree in Business, Finance, Legal Studies, Risk Management, or a related field.
• 5+ years of experience in compliance, third-party due diligence, counter party risk, or regulatory risk management, preferably within a highly regulated industry.
• Demonstrated experience conducting risk-based due diligence on domestic and international entities.
• Strong understanding of:
  • Anti-bribery and anti-corruption (e.g., FCPA concepts)
  • Sanctions and trade compliance fundamentals
  • Corporate ownership and beneficial ownership structures
• Experience working with due diligence platforms, screening tools, and ERP systems supporting vendor/customer onboarding.
• Excellent analytical, documentation, and judgment skills.

• Experience in a large, complex, or highly regulated organization
  .
• Familiarity with international trading counter parties and cross-border business relationships.
• Professional certifications such as CAMS, CCEP, CRCM, or equivalent
  .
• Experience supporting audits or responding to regulatory examinations.

• Strong ethical judgment and attention to detail
• Ability to balance compliance rigor with business practicality
• Clear, confident…