Global Markets, Regulatory Controls Management, Associate - Dallas

Location(s) US-TX-Dallas
Job ID
Schedule Type
Full Time
Global Markets
Business Unit
Management and Strategy
Employment Type



Our core value is building strong relationships with our institutional clients, which include corporations, financial service providers, and fund managers. We help them buy and sell financial products on exchanges around the world, raise funding, and manage risk. This is a dynamic, entrepreneurial team with a passion for the markets, with individuals who thrive in fast-paced, changing environments and are energized by a bustling trading floor.


Team Overview: The Regulatory Controls Management Team (RCM) provides oversight and management of business controls associated with regulatory implementation for Global Markets. The team focuses on the design of pre trade and trade controls for Sales/Trading, including control enhancements, alert management and escalation to key stakeholders. (excludes Regulatory Reporting obligations and associated Operations-owned post-trade processes and controls)


Roles and Responsibilities

  • Design pre-trade and post-trade business controls for new regulatory implementation, and identify and implement enhancements to existing controls
  • Develop subject matter expertise on covered obligations and participate in various working groups across multiple stakeholders
  • Contribute to strategic initiatives to streamline pre-trade and post-trade control design, workflows and processes across obligations
  • Formulate and develop business control requirements for new regulatory implementations
  • Partner with Desks, Compliance, Legal and Engineering to design and improve business control workflows
  • Develop management reporting (e.g. metrics, dashboards) to improve visibility and facilitate escalation to obligation owners, desks and senior leadership
  • Knowledge of Global Markets businesses and ability to build relationships with sales / trading personnel
  • Basic understanding of sales and trading workflows and platforms ie buy-side, sell-side and trading venues

Basic Qualifications:

  • 3+ years of experience 
  • Ability to translate and analyze data to perform root cause / trending / impact analyses to drive decision making
  • Experience working with Technology including defining and clarifying business requirements, demonstrate comprehension of business logic
  • Ability to manage timelines/deadlines, multiple projects and prioritize tasks in a rapidly changing environment
  • Ability to identify and articulate complex issues to a diverse group of stakeholders, propose mitigants/solutions and escalate appropriately
  • Ability to craft and generate effective and influential presentations, metrics, reporting to a diverse group of stakeholders
  • Strong time and project management/organizational skills and attention to detail; ability to handle a fast-paced environment; communicate factually and influentially



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