Compliance, Consumer Compliance, Associate, Richardson

Location(s) US-TX-Richardson
Job ID
Schedule Type
Full Time
Business Unit
Consumer Compliance
Employment Type



Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape. 


Responsibilities and Qualifications




There is an opportunity to join the Consumer Compliance team with focus on compliance monitoring of consumer regulations. Responsibilities of the role include evaluating first line internal controls and/or external vendor controls for compliance with consumer regulations including, but not limited to: FDCPA, TILA, SCRA, RESPA and NFIP. The candidate will be responsible for analyzing risks and discussing findings with the appropriate internal business owners.  The role involves identifying risk patterns and trends within the consumer space and determining focus areas for compliance monitoring. Frequent escalation, reporting and ongoing communication to the business and Compliance management occurs within this role.


Preferred Qualifications

  • Excellent written and verbal communication skills with the ability to summarize observations and present in a clear, concise manner to peers, managers and senior Consumer Compliance management
  • 3+ years of experience in the consumer banking industry
  • Knowledge of regulations governing the consumer banking industry
  • Experience in Compliance monitoring programs is a plus
  • Excellent organizational skills, project management and reporting skills
  • Excellent analytical thinking and problem solving skills
  • Ability to adapt to new changes and challenges in a fast-paced environment
  • Ability to prioritize workflows, meet deadlines
  • Ability to identify opportunities for process improvements
  • Ability to work independently while simultaneously contributing to the team
  • Proficiency in Excel (pivots, VLookups) and PowerPoint
  • Proficiency in Project Management tools a plus
  • Experience in Tableau and Alteryx preferred
  • Fluency in Spanish a plus



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