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Associate Principal, Regulatory Compliance

Posted on Jul 19, 2022 by Request Technology

Dallas, TX 75201
Immediate Start
$90k - $120k Annual

Associate Principal, Regulatory Compliance

Salary: $90k-$120k + bonus

Location: Hybrid role, 2 days in-office 3 days remote in any of the following locations

Dallas, TX/Chicago, IL/New Jersey, NJ

*We are unable to provide sponsorship for this role*

*Bonus Eligible*

A prestigious financial company is looking to fill an Associate Principal, Regulatory Compliance role focused on review of the organization's compliance with applicable regulatory and legal rules and requirements (ie, SEC CCA, CFTC DCO, Federal Reserve, etc.)


  • Bachelor's Degree in Accounting, Business, Economics, Finance, other business and finance-related discipline or Information Systems, Computer Science, or related discipline
  • 3+ years of experience
  • Experience working in compliance, audit, or risk for a financial services company
  • Strong working knowledge of securities and commodities rules and regulations. (ie, SEC, CFTC, etc.)
  • Strong working knowledge of compliance related best practices
  • Experience in risk and control frameworks, and process improvement frameworks (eg, COBIT, COSO, ITIL, NIST, ISO 27001, ISO 9001, CMMI)
  • Working knowledge of the financial industry


  • Familiarity with the Securities Exchange Act of 1934 and the Commodity Exchange Act
  • Experience using an integrated risk management system (such as RSA Archer), Document Management tools, and reporting tools
  • Experience using NAVEX Global and PolicyTech
  • CPA, CFA, CIA, CFE, CISA, etc.


  • Support and drive a team that will identify and establish processes (including policies and procedures), controls and tools required to provide regulatory advisory services for the business units
  • Support and drive a team to provide regulatory advisory services concerning financial risk management (including credit risk, liquidity risk, model risk, stress testing, default management, etc.), clearing and settlement, enterprise risk management (including operational risk, third party risk management, etc.), corporate finance (including accounting, finance, treasury, etc.) and other general business practices
  • Provide guidance to first line of defense (business units) related to effective demonstration of compliance with regulatory obligations covering their areas
  • Provide guidance to the business on the development and implementation of effective remediation plans to address internal or external findings
  • Assist business units with the identification, understanding, and development of processes, policies, procedures, and controls that effectively demonstrate compliance with regulatory obligations
  • Assist the compliance monitoring program in support of providing frequent and highly professional reports to the CCO, executive management, and the Board of Directors
  • Interact and communicate in a highly effective, professional, and insightful manner with business colleagues within the company and third parties such as external auditors and regulators

Reference: 1673228901

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